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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:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: Undetermined |
Small Entities Affected: Businesses | Federalism: Undetermined |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/final/2012/ic-30268.pdf | |
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 |