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SEC RIN: 3235-AK66 Publication ID: Fall 2011 
Title: Family Offices 
Abstract: The Commission adopted a rule, consistent with section 409 of the Dodd-Frank Act, regarding family offices. 
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 275.202(a)(11)(G)-1 (new)   
Legal Authority: 15 USC 80b-2(a)(11)(G)   
Legal Deadline:
Action Source Description Date
Final  Statutory  Statute requires the Commission to provide legal definition of family offices subject to exemption.   07/21/2011 
Timetable:
Action Date FR Cite
NPRM  10/18/2010  75 FR 63753   
NPRM Comment Period End  11/18/2010    
Final Action  06/29/2011  76 FR 37983   
Final Action Effective  08/29/2011    
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.gove/rules/final/2011/ia-3220.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Sarah ten Siethoff
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6729
Email: tensiethoffs@sec.gov