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B-331470 1 (2019-10-18)

handle is hein.gao/gaobaeadu0001 and id is 1 raw text is: GAOU.S. GOVERNMENT ACCOUNTABILITY OFFICE 441 G St. N.W. Washington, DC 20548 B-331470 October 18, 2019 The Honorable Mike Crapo Chairman The Honorable Sherrod Brown Ranking Member Committee on Banking, Housing, and Urban Affairs United States Senate The Honorable Maxine Waters Chairwoman The Honorable Patrick McHenry Ranking Member Committee on Financial Services House of Representatives Subject: Securities and Exchange Commission: Solicitations of Interest Prior to a Registered Public Offering Pursuant to section 801 (a)(2)(A) of title 5, United States Code, this is our report on a major rule promulgated by the Securities and Exchange Commission (the Commission) entitled Solicitations of Interest Prior to a Registered Public Offering (RIN: 3235-AM23). We received the rule on September 30, 2019. It was published in the Federal Register as a final rule on October 4, 2019. 84 Fed. Reg. 53011. The effective date of the rule is December 3, 2019. The final rule permits issuers to engage in oral or written communications with certain potential investors, either prior to or following the filing of a registration statement, to determine whether such investors might have an interest in a contemplated registered securities offering. Enclosed is our assessment of the Commission's compliance with the procedural steps required by section 801 (a)(1)(B)(i) through (iv) of title 5 with respect to the rule. If you have any questions about this report or wish to contact GAO officials responsible for the evaluation work relating to the subject matter of the rule, please contact Janet Temko-Blinder, Assistant General Counsel, at (202) 512-7104. signed Shirley A. Jones Managing Associate General Counsel Enclosure cc: Vanessa Countryman Acting Secretary Securities and Exchange Commission

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