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SEC RIN: 3235-AL21 Publication ID: Spring 2013 
Title: Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Securities 
Abstract: The Commission is reviewing the status under the Investment Company Act of companies that are engaged in the business of acquiring mortgages and mortgage-related securities (together mortgage companies). The review focuses on mortgage companies, such as certain real estate investment trusts, that rely on the exclusion from the definition of investment company in section 3(c)(5)(C) of the Investment Company Act to avoid registration and regulation under that Act. To help facilitate this review, the Commission issued a concept release to request information about these mortgage companies and solicit commenters' views about the application of the Investment Company Act to such companies. 
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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 USC 80a-6(c)    15 USC 80a3-37(a)   
Legal Deadline:  None
Action Date FR Cite
ANPRM  09/07/2011  76 FR 55380   
ANPRM Comment Period End  11/07/2011    
Next Action  12/00/2013 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Rochelle Kauffman Plesset
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6840

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