Releases and Rule Filings

Release or Rule Filing No. Description Date
2011-01 SEC Filing Form 19b-4 Jun. 21, 2011
2011-001 Final Rule Jun. 14, 2011
2010-008 Proposed Rule Dec. 14, 2010

Supplemental Materials

Description Date
Statement on Interim Inspection Rules for Auditors of Brokers and Dealers by James R. Doty, Chairman Jun. 14, 2011
Statement on Interim Inspection Rules for Auditors of Brokers and Dealers by Lewis H. Ferguson, Board Member Jun. 14, 2011
Statement on Interim Inspection Rules for Auditors of Brokers and Dealers by Daniel L. Goelzer, Board Member Jun. 14, 2011
Statement on Interim Inspection Rules for Auditors of Brokers and Dealers by Jay D. Hanson, Board Member Jun. 14, 2011
Temporary Rule for an Interim Program of Inspection Related to Audits of Brokers and Dealers by Steven B. Harris, Board Member Jun. 14, 2011
Fact Sheet - Interim Inspection Program for Broker-Dealer Audits Jun. 14, 2011
Statement on Proposed Temporary Rule for an Interim Program of Inspection Related to Audits of Brokers and Dealers by Daniel L. Goelzer, Acting Chairman Dec. 14, 2010
Statement on Proposed Temporary Rule to Establish an Interim Inspection Program of Brokers and Dealers by Steven B. Harris, Board Member Dec. 14, 2010
Fact-Sheet - Proposed Interim Inspection Program for Broker-Dealer Audits Dec. 14, 2010