Regulação e direito · 05/10/19981 min de leitura
Office of the Assistant Secretary for Financial Markets; Government Securities Act Regulations: Reports and Audit
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Resumo
The Department of the Treasury (``Department'' or ``Treasury'') is publishing for comment a proposed amendment to the reporting requirements in Sec. 405.2 of the regulations issued under the Government Securities Act of 1986 (``GSA''), as amended.\1\ 17 CFR 405.2 of the GSA regulations requires entities registered with the Securities and Exchange Commission (``SEC'') as specialized government securities brokers dealers (``registered government securities brokers and dealers'') under section 15C(a)(2) of the Securities Exchange Act of 1934 (the ``Exchange Act'') \2\ to comply with the requirements of section 240.17a-5 of the Exchange Act (SEC Rule 17a-5). On July 13, 1998, the SEC issued an amendment to SEC Rule 17a-5 that requires general purpose broker-dealers to file two reports regarding their year 2000 (``Y2K'') readiness. This proposed amendment by the Department parallels the SEC's final Y2K reporting rules.