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SEC RIN: 3235-AL03 Publication ID: Spring 2013 
Title: Treatment of Asset-Backed Issuers Under the Investment Company Act 
Abstract: The Commission issued a concept release on possible amendments to Rule 3a-7, the rule that excludes certain asset-backed securities issuers from the definition of investment company, subject to various conditions. Such amendments could include replacing references to credit ratings with conditions consistent with section 939A of the Dodd Frank Act. 
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 270.3a-7   
Legal Authority: PL 111-203, sec 939    PL 111-203, sec 939A   
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd Frank Act requires final rules within one year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
ANPRM  09/07/2011  76 FR 55308   
ANPRM Comment Period End  11/07/2011    
NPRM  12/00/2013 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/concept/2011/ic-29779.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK19 
Agency Contact:
Rochelle Kauffman Plesset
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6840
Email: plessetr@sec.gov