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SEC | RIN: 3235-AL75 | Publication ID: Fall 2015 |
Title: ●Amendments to Form ADV and Investment Advisers Act Rules | |
Abstract:
The Commission proposed amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account business; incorporate a method for private fund adviser entities operating a single advisory business to register using a single Form ADV; and make clarifying, technical and other amendments to certain Form ADV items and instructions. The Commission also proposed amendments to the Investment Advisers Act books and records rule and technical amendments to several Investment Advisers Act rules to remove transition provisions that are no longer necessary. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 275.202(a)(ii)(G)-1 17 CFR 275.203.1 17 CFR 275.204.1 17 CFR 275.404-2 17 CFR 279.1 | |
Legal Authority: 15 U.S.C. 77s(a) 15 U.S.C. 77sss(a) 15 U.S.C. 78bb(e)(2) 15 U.S.C. 78w(a) 15 U.S.C. 80a-37(a) 15 U.S.C. 80b-3(c)(1) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2015/ia-4091.pdf | |
RIN Data Printed in the FR: Yes | |
Agency Contact: Holly Hunter-Ceci Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6825 Email: hunter-cecih@sec.gov |