Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Correction

SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 232
[Release Nos. 33–9741C; 34–74578C; 39– 2501C; File No. S7–11–13] RIN 3235–AL39 Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Correction AGENCY: Securities and Exchange Commission. ACTION: Correcting amendments. SUMMARY: This document contains corrections to the final regulations (SEC Rel. No. 33–9741), which were published in the Federal Register of Monday, April 20, 2015 (80 FR 21806). The regulations related to Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A). DATES: This correction is effective July 1, 2015. FOR FURTHER INFORMATION CONTACT:
Linda Cullen, Office of the Secretary at (202) 551–5400. SUPPLEMENTARY INFORMATION:
Background
The final regulations that are the subject of these corrections were revisions to Item 101(a) of Regulation S– T (§ 232.101(a) of the chapter) on the effective date of the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A) to reflect the mandatory electronic filing of all issuer initial filing and ongoing reporting requirements under Regulation A (§§ 230.251–230.262 of the chapter). Need for Correction As published, the final regulations contain errors which need to be corrected. List of Subjects in 17 CFR Part 232 Reporting and recordkeeping requirements, Securities. Accordingly, 17 CFR part 232 is corrected by making the following correcting amendments:

• 1. The authority citation for part 232
     continues to read in part as follows:
     Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29, 80a–30, 80a–37, 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.

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• 2. Section 232.101 is amended by:
• a. Revising paragraphs (a)(1)(xvi) and
  (xvii); and
• b. Adding paragraph (a)(1)(xviii).
  The revisions and addition read as follows:
  § 232.101 Mandated electronic submissions and exceptions. (a) * * * (1) * * * (xvi) Form ABS–15G (as defined in § 249.1400 of this chapter); (xvii) Documents filed with the Commission pursuant to section 13(n) of the Exchange Act (15 U.S.C. 78m(n)) and the rules and regulations

1Political Contributions by Certain Investment Advisers, Investment Advisers Act Rel. No. 3043 (July 1, 2010) [75 FR 41018 (July 14, 2010)] (‘‘Pay to Play Release’’). 2See id. at Section II.B.2.(b). See also 17 CFR 275.206(4)–5(a)(2)(i)(A). 3See 17 CFR 275.206(4)–5(f)(9)(i). 4See 17 CFR 275.206(4)–5(f)(9)(ii). While rule 206(4)–5 applies to any registered national securities association, the Financial Industry Regulatory Authority (‘‘FINRA’’) is currently the only registered national securities association under
section 19(a) of the Securities Exchange Act of 1934
[15 U.S.C. 78s(b)]. As such, for convenience, we will refer directly to FINRA in this notice of compliance date when describing the exception for certain broker-dealers from the third-party solicitor ban. 5See 17 CFR 275.206(4)–5(f)(9)(iii). On June 22, 2011, the Commission amended the Pay to Play Rule to add municipal advisors to the definition of ‘‘regulated persons.’’ See Rules Implementing Amendments to the Investment Advisers Act of 1940, Investment Advisers Act Rel. No. 3221 (June 22, 2011) [76 FR 42950 (July 19, 2011)] (‘‘Municipal Advisor Addition Release’’). The Commission adopted final rules with respect to the registration of municipal advisors on September 20, 2013. See Registration of Municipal Advisors, Exchange Act Release No. 70462 (Sept. 20, 2013) [78 FR 67468 (Nov. 12, 2013)] (‘‘Municipal Advisor Registration Release’’). 6See 17 CFR 275.206(4)–5(f)(9). 7See Pay to Play Release at section III. 8See Municipal Advisor Addition Release at
section II.D.1.
9See Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date, Investment Advisers Act Rel. No. 3418 (June 8,
2012) [77 FR 35263 (June 13, 2012)] (‘‘Extension
Release’’).
10The final date on which a municipal advisor must file a complete application for registration was October 31, 2014. See Municipal Advisor Registration Release at section V. 11See the Extension Release. thereunder, including Form SDR (17 CFR 249.1500) and reports filed pursuant to Rules 13n–11(d) and (f) (17 CFR 240.13n–11(d) and (f)) under the Exchange Act; and (xviii) Filings made pursuant to Regulation A (§§ 230.251 through
230.262 of this chapter).

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Dated: June 25, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015–16045 Filed 6–30–15; 8:45 am] BILLING CODE 8011–01–P