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SEC RIN: 3235-AL02 Publication ID: Fall 2013 
Title: References to Credit Ratings in Certain Investment Company Act Rules and Forms 
Abstract: The Commission proposed amendments to two rules (Rules 2a-7 and 5b-3) and four forms (Forms N-1A, N-2, N-3, and N-MFP) under the Investment Company Act that reference credit ratings. These proposals would give effect to section 939A of the Dodd Frank Act. The Commission adopted a new rule under the Act that sets forth a credit quality standard in place of a credit rating removed by the Dodd Frank Act from section 6(a)(5)(A)(iv)(1) of that Act. 
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 270.2a-7; 17 CFR 270.5b-3; 17 CFR 274.201; 17 CFR 239.15A; 17 CFR 274.11A; 17 CFR 239.14; 17 CFR 74.11a-1; 17 CFR 239.17A; 17 CFR 271.11b 
Legal Authority: 15 USC 80a-6(c); 15 USC 80a-8; 15 USC 80a-14(a); 15 USC 80a-29; 15 USC 80a-30(a); 15 USC 80a-37; 15 USC 77e; 15 USC 77f; 15 USC 77g; 15 USC 77j; 15 USC 77s(a); PL 111-203, sec 939A 
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd Frank Act requires final rules within a year of enactment.  07/21/2011 
Action Date FR Cite
NPRM  03/09/2011  76 FR 12896 
NPRM Comment Period End  04/25/2011   
Final Action  11/23/2012  77 FR 70117 
Final Action Effective  12/24/2012   
Final Action  12/00/2013   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK19 
Agency Contact:
Adam Bolter
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6792

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