RIN Data
SEC | RIN: 3235-AL62 | Publication ID: Fall 2016 |
Title: Adviser Business Continuity and Transition Plans | |
Abstract:
The Commission proposed a new rule that would require investment advisers registered with the Commission to adopt and implement written business continuity and transition plans. |
|
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: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 U.S.C. 80b-4 15 U.S.C. 80b-6(4) 15 U.S.C. 80b-11(a) |
Legal Deadline:
None |
||||||||||||
Timetable:
|
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/2016/ia-4439.pdf | |
RIN Data Printed in the FR: Yes | |
Agency Contact: Alpa Patel Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6797 Email: patelalp@sec.gov |