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SEC RIN: 3235-AJ12 Publication ID: Spring 2011 
Title: Point-of-Sale Disclosure of Purchases in Open-End Management Investment Company Shares, Unit Investment Trust Interests, and Municipal Fund Securities Used for Education Savings 
Abstract: The Commission proposed new Rule 15c2-3 under the Exchange Act, together with accompanying Schedule 15D. Proposed Rule 15c2-3 and Schedule 15D would provide for pre-transaction "point of sale" disclosure of distribution costs and conflicts of interest associated with transactions in mutual funds, municipal fund securities, and unit investment trusts. 
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 240.15c2-2    17 CFR 240.15c2-3    17 CFR 240.10b-10   
Legal Authority: 15 USC 78j    15 USC 78k    15 USC 78o    15 USC 78q    15 USC 78w(a)    15 USC 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  02/10/2004  69 FR 6438   
NPRM Comment Period End  04/12/2004    
NPRM Comment Period Extended  03/04/2005  70 FR 10521   
NPRM Comment Period End  04/04/2005    
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/33-8544.htm  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AJ11, Related to 3235-AJ13, Related to 3235-AJ14 
Agency Contact:
Alicia Goldin
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5618
Fax:202 772-9270
Email: goldina@sec.gov