Delegation of Authority to the Director of the Office of Compliance Inspections and Examinations and the Secretary of the Commission

Özet

The Securities and Exchange Commission ("Commission") is amending Rules 30-18 \1\ and 30-7 \2\ to delegate to the Director of the Office of Compliance Inspections and Examinations ("OCIE") and the Secretary of the Commission, respectively, functions currently delegated to the Associate Executive Director of the Office of Filings and Information Services ("OFIS"). This re-delegation reflects the transfer to OCIE and the Office of the Secretary of functions previously performed by OFIS, which was fully dissolved in May 2007. The Commission is delegating to the Director of OCIE functions relating to, among other things, the granting and cancellation of the registrations of brokers, dealers, municipal securities dealers, government securities brokers or government securities dealers for which the Commission is the appropriate regulatory agency, transfer agents, and investment advisers. The Commission is delegating to the Secretary of the Commission the function of authenticating all Commission documents produced for administrative and judicial proceedings. ---------------------------------------------------------------------------