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SEC RIN: 3235-AJ60 Publication ID: Spring 2013 
Title: Exchange-Traded Funds 
Abstract: The Commission proposed new rules and rule amendments to provide exemptive relief for index-based and actively managed exchange-traded funds. Exchange-traded funds are investment companies registered under the Investment Company Act as open-end investment companies or unit investment trusts. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 270.6c-11; 17 CFR 270.12d1-4; 17 CFR 270.12d1-2 
Legal Authority: 15 USC 80a-6(c); 15 USC 80a-37(a); 15 USC 80a-12(d)(1)(J); 15 USC 80a-8(b); 15 USC 80a-24a; 15 USC 80a-29; 15 USC 77f; 15 USC 77g(a); 15 USC 77j; 15 USC 77s(a) 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/18/2008  73 FR 14618 
NPRM Comment Period End  05/19/2008   
Final Action  12/00/2013   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2008/33-8901.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Aidan O'Connor
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6808
Email: oconnorai@sec.gov

 
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