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SEC

RIN: 3235-AH72

Publication ID: Spring 2009

Title: Political Contributions by Certain Investment Advisers
Abstract: The Commission proposed new Rule 206(4)-5, which would prohibit an investment adviser from providing advisory services for compensation to a Government client for 2 years after the adviser or any of its partners, executive officers, or solicitors makes a contribution to certain elected officials or candidates. The Commission also proposed rule amendments that would require a registered adviser that has Government clients to maintain certain records of the political contributions made by the adviser or any of its partners, executive officers, or solicitors. The Division is considering recommending that the Commission re-propose a rule related to political contributions made by certain 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 275.206(4)-5
Legal Authority: 15 USC 204    15 USC 206(4)    15 USC 211(a)

Legal Deadline:  None

Timetable: Action Date FR Cite NPRM  08/10/1999  64 FR 43556    NPRM Comment Period End  11/01/1999     Second NPRM  10/00/2009

Regulatory Flexibility Analysis Required: Yes	Government Levels Affected: None
Small Entities Affected: Businesses	Federalism: No
Included in the Regulatory Plan: No
RIN Information URL: www.sec.gov/rules/proposed/ia-1812.htm
RIN Data Printed in the FR: Yes
Agency Contact: Daniel Seth Kahl Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6730 Email: kahld@sec.gov