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SEC RIN: 3235-AK39 Publication ID: Fall 2010 
Title: Political Contributions by Certain Investment Advisers 
Abstract: The Commission adopted a new rule under the Investment Advisers Act that prohibits an investment adviser from providing advisory services for compensation to a government client for two years after the adviser or certain of its executives or employees make a contribution to certain elected officials or candidates. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.206(4)-3    17 CFR 275.206(4)-5    17 CFR 275.204-2   
Legal Authority: 15 USC 80b-6(4)    15 USC 80b-11    15 USC 80b-4   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/07/2009  74 FR 39840   
NPRM Comment Period End  10/06/2009    
Final Action  07/14/2010  75 FR 41018   
Final Action Effective  09/13/2010    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Local, State 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/final/2010/ia-3043.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AH72 
Agency Contact:
Melissa Roverts
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6722
Fax:202 772-2934
Email: rovertsm@sec.gov