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SEC

RIN: 3235-AM32

Publication ID: Fall 2023

Title: Safeguarding Advisory Client Assets
Abstract: The Division is considering recommending that the Commission adopt amendments to existing rules and/or adopt new rules under the Investment Advisers Act of 1940 to improve and modernize the regulations around the custody of funds or investments of clients by Investment Advisers.
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 275.223-1 17 CFR 275.204-2
Legal Authority: 15 U.S.C. 80b-4 15 U.S.C. 80b-6(4) 15 U.S.C. 80b-11(a) 15 U.S.C. 80b-3(c)(1) 15 U.S.C. 80b-18b 15 U.S.C. 80b-11 15 U.S.C. 80b-23

Legal Deadline: None

Timetable:

Action	Date	FR Cite
NPRM	03/09/2023	88 FR 14672
NPRM Comment Period End	05/08/2023
NPRM Comment Period Reopened	08/30/2023	88 FR 59818
NPRM Comment Period Reopened End	10/30/2023
Final Action	04/00/2024

Regulatory Flexibility Analysis Required: Yes	Government Levels Affected: None
Small Entities Affected: Businesses	Federalism: No
Included in the Regulatory Plan: No
RIN Data Printed in the FR: Yes
Agency Contact: Melissa Harke Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6722 Email: harkem@sec.gov