3235-AH07 199710 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Rules Implementing Amendments to the Investment Advisers Act of 1940 Substantive, Nonsignificant Previously Published in The Unified Agenda Completed Actions Yes No 17 CFR 275.203(b)(3)-1 17 CFR 275.203A-1 17 CFR 275.203A-2 17 CFR 275.203A-3 17 CFR 275.203A-4 17 CFR 275.203A-5 17 CFR 275.204-1 17 CFR 275.204-2 17 CFR 275.205-3 17 CFR 275.206(3)-2 17 CFR 275.206(4)-1 17 CFR 275.206(4)-2 17 CFR 275.206(4)-3 17 CFR 275.206(4)-4 17 CFR 275.222-1 ... 15 USC 80b-2(a)(17) 15 USC 80b-3(c)(1) 15 USC 80b-3A(a)(1)(A) 15 USC 80b-3A(c) 15 USC 80b-4 15 USC 80b-6 15 USC 80b-6(4) 15 USC 80b-6A 15 USC 80b-11 15 USC 80b-11(a) No NPRM 12/20/1996 61 FR 68480 NPRM Comment Period End 02/10/1997 Final Action 05/15/1997 62 FR 28112 Final Action Effective 07/08/1997 CFR CITATION CONT..... 17 CFR 275.222-2; 17 CFR 279.1; 17 CFR 279.3 Yes Businesses Federal State NA Not Collected Catherine Saadeh M. 3235 Securities and Exchange Commission SEC 202 942-0650 No