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<REGINFO_RIN_DATA xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" RUN_DATE="2026-04-30-04:00" xsi:noNamespaceSchemaLocation="https://www.reginfo.gov/public/xml/REGINFO_XML_Ver10262011.xsd">
    <RIN_INFO>
        <RIN>3235-AL21</RIN>
        <PUBLICATION>
            <PUBLICATION_ID>201304</PUBLICATION_ID>
            <PUBLICATION_TITLE>Update to the Unified Agenda of Federal Regulatory and Deregulatory Actions</PUBLICATION_TITLE>
        </PUBLICATION>
        <AGENCY>
            <CODE>3235</CODE>
            <NAME>Securities and Exchange Commission</NAME>
            <ACRONYM>SEC</ACRONYM>
        </AGENCY>
        <RULE_TITLE>Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Securities</RULE_TITLE>
        <ABSTRACT><![CDATA[The Commission is reviewing the status under the Investment Company Act of companies that are engaged in the business of acquiring mortgages and mortgage-related securities (together mortgage companies).

The review focuses on mortgage companies, such as certain real estate investment trusts, that rely on the exclusion from the definition of investment company in section 3(c)(5)(C) of the Investment Company Act to avoid registration and regulation under that Act.  To help facilitate this review, the Commission issued a concept release to request information about these mortgage companies and solicit commenters' views about the application of the Investment Company Act to such companies.]]></ABSTRACT>
        <PRIORITY_CATEGORY>Substantive, Nonsignificant</PRIORITY_CATEGORY>
        <RIN_STATUS>Previously Published in The Unified Agenda</RIN_STATUS>
        <RULE_STAGE>Proposed Rule Stage</RULE_STAGE>
        <MAJOR>Undetermined</MAJOR>
        <UNFUNDED_MANDATE_LIST>
            <UNFUNDED_MANDATE>No</UNFUNDED_MANDATE>
        </UNFUNDED_MANDATE_LIST>
        <CFR_LIST>
            <CFR>Not Yet Determined</CFR>
        </CFR_LIST>
        <LEGAL_AUTHORITY_LIST>
            <LEGAL_AUTHORITY>15 USC 80a-6(c)</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>15 USC 80a3-37(a)</LEGAL_AUTHORITY>
        </LEGAL_AUTHORITY_LIST>
        <LEGAL_DLINE_LIST/>
        <RPLAN_ENTRY>No</RPLAN_ENTRY>
        <TIMETABLE_LIST>
            <TIMETABLE>
                <TTBL_ACTION>ANPRM</TTBL_ACTION>
                <TTBL_DATE>09/07/2011</TTBL_DATE>
                <FR_CITATION>76 FR 55380</FR_CITATION>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>ANPRM Comment Period End</TTBL_ACTION>
                <TTBL_DATE>11/07/2011</TTBL_DATE>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>Next Action</TTBL_ACTION>
                <TTBL_DATE>12/00/2013</TTBL_DATE>
            </TIMETABLE>
        </TIMETABLE_LIST>
        <RFA_REQUIRED>Undetermined</RFA_REQUIRED>
        <GOVT_LEVEL_LIST>
            <GOVT_LEVEL>Undetermined</GOVT_LEVEL>
        </GOVT_LEVEL_LIST>
        <FEDERALISM>No</FEDERALISM>
        <FURTHER_INFO_URL>ww.sec.gov/rules/concept/2011/ic-29778.pdf</FURTHER_INFO_URL>
        <PRINT_PAPER>No</PRINT_PAPER>
        <INTERNATIONAL_INTEREST>No</INTERNATIONAL_INTEREST>
        <AGENCY_CONTACT_LIST>
            <CONTACT>
                <FIRST_NAME>Rochelle</FIRST_NAME>
                <LAST_NAME>Plesset</LAST_NAME>
                <MIDDLE_NAME>Kauffman</MIDDLE_NAME>
                <TITLE>Division of Investment Management</TITLE>
                <AGENCY>
                    <CODE>3235</CODE>
                    <NAME>Securities and Exchange Commission</NAME>
                    <ACRONYM>SEC</ACRONYM>
                </AGENCY>
                <PHONE>202 551-6840</PHONE>
                <EMAIL>plessetr@sec.gov</EMAIL>
                <MAILING_ADDRESS>
                    <STREET_ADDRESS>100 F Street NE,</STREET_ADDRESS>
                    <CITY>Washington</CITY>
                    <STATE>DC</STATE>
                    <ZIP>20549</ZIP>
                </MAILING_ADDRESS>
            </CONTACT>
        </AGENCY_CONTACT_LIST>
    </RIN_INFO>
</REGINFO_RIN_DATA>
