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SEC

RIN: 3235-AH72

Publication ID: Fall 2008

Title: Political Contributions by Certain Investment Advisers
Abstract: The Commission proposed new Rule 206(4)-5, which would prohibit an investment adviser from providing advisory services for compensation to a Government client for 2 years after the adviser or any of its partners, executive officers, or solicitors makes a contribution to certain elected officials or candidates. The Commission also proposed rule amendments that would require a registered adviser that has Government clients to maintain certain records of the political contributions made by the adviser or any of its partners, executive officers, or solicitors.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Long-Term Actions
Major: Undetermined	Unfunded Mandates: No
CFR Citation: 17 CFR 275
Legal Authority: 15 USC 206(4)    15 USC 211(a)    15 USC 204

Legal Deadline:  None

Timetable: Action Date FR Cite NPRM  08/10/1999  64 FR 43556    NPRM Comment Period End  11/01/1999     Next Action Undetermined  To Be Determined

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/ia-1812.htm
RIN Data Printed in the FR: Yes
Agency Contact: Daniel Seth Kahl Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6730 Email: kahld@sec.gov