SEC · other · Published 1997-04-04 · Effective 1997-03-29 · 62 FR 16076
Document
Document number
97-8360
Federal Register citation
62 FR 16076
CFR reference
17 CFR 202
Type
Rule
Action
Policy statement; request for comments.
Category
other
Agency
US Securities and Exchange Commission
Publication date
1997-04-04
Effective date
1997-03-29
Docket
Release Nos. 33-7408, 34-38447, 35-26696, 39-2350, IC-22588, and IA- 1625
Abstract
The Securities and Exchange Commission is issuing a statement of its penalty-reduction policy for small entities as required by the Small Business Regulatory Enforcement Fairness Act, Pub. L. No. 104- 121, 110 Stat. 857 (1996). The Commission also requests comments on the policy. After the comment period has closed and the Commission has gained experience in applying the policy, the Commission intends to re- evaluate the policy in light of its experience and the comments of interested persons.