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SEC Proposes Amendments to Rules on Securities Clearing and Settlement Company

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Thursday, June 28, 2018 / 06:55 PM / SEC

Major Amendment

  1. Proposed amendment to Part C15 – Securities Clearing and Settlement Company

Sundry Amendments

  1. Proposed Amendment to the Rule 40(5) on type of Public Company that may file earnings forecast
  2. Proposed amendment to Rule 41(4)- Rules Relating to Publication of Interim Financial Statement (Re-Exposure)
  3. Proposed amendment to Schedule II of the Commission’s Rules and Regulations- Insertion of penalty for diversion/misapplication of Issue Proceeds (Re-Exposure)

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