3235-AL42 201610 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Investment Company Reporting Modernization

The Commission adopted new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Yes No 17 CFR 200 17 CFR 210 17 CFR 230 17 CFR 232 17 CFR 239 17 CFR 240 17 CFR 249 17 CFR 270 17 CFR 274 15 U.S.C. 77 et seq. 15 U.S.C. 77aaa et seq. 15 U.S.C. 78a et seq. 15 U.S.C. 80a et seq. 44 U.S.C. 3506 44 U.S.C. 3507 No NPRM 06/12/2015 80 FR 33590 NPRM Comment Period End 08/11/2015 NPRM Comment Period Reopened 10/12/2015 80 FR 62274 NPRM Comment Period Reopened End 01/13/2016 Final Action 11/00/2016 Yes Businesses None Undetermined www.sec.gov/rules/final/2016/33-10231/pdf Yes No Sara Cortes Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-5137 cortess@sec.gov 100 F Street NE, Washington DC 20549