# Amendment to Single Issuer Exemption for Broker-Dealers
> **US Securities and Exchange Commission** · Final rule. · Published 2019-06-14 · Effective 2019-08-13 · 84 FR 27708
## Document
- **Document number:** 2019-12563
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 84 FR 27708
- **CFR reference:** 17 CFR 240
- **Publication date:** 2019-06-14
- **Effective date:** 2019-08-13
- **Docket:** Release No. 34-86073
## Abstract

The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 ("Exchange Act"). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2019/06/14/2019-12563/amendment-to-single-issuer-exemption-for-broker-dealers)
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