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SEC RIN: 3235-AH24 Publication ID: Spring 2009 
Title: Books and Records To Be Maintained by Investment Advisers 
Abstract: The Division is considering recommending that the Commission propose amendments to update the books and records requirements for investment advisers. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.204-2   
Legal Authority: 15 USC 80b-4    15 USC 80b-6(4)    15 USC 80b-11(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/00/2009    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Dan Kahl
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6730
Email: kahld@sec.gov