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SEC RIN: 3235-AM02 Publication ID: Spring 2018 
Title: Exemptions from Investment Adviser Registration for Advisers of Small Business Investment Companies 
Abstract:

The Commission adopted amendments to rule 203( l )-1 and rule 203(m)-1 under the Investment Advisers Act of 1940 in order to reflect changes made to sections 203( l ) and 203(m) of the Act regarding the registration of investment advisers to small business investment companies by the Fixing America’s Surface Transportation Act of 2015 (the FAST Act).

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
EO 14192 Designation: Independent agency 
CFR Citation: 17 CFR 275   
Legal Authority: 15 U.S.C. 80b-11(a)    15 U.S.C. 80b-3(l)    15 U.S.C. 80b-3(m)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/09/2017  82 FR 21487   
NPRM Comment Period End  06/08/2017 
Final Rule  01/11/2018  83 FR 1296   
Final Action Effective  03/12/2018 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2017/33-10390.pdf   Public Comment URL: www.sec.gov/comments/S7-05-17/S70517.htm  
RIN Data Printed in the FR: No 
Agency Contact:
Mike Neus
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:212 336-5561
Email: neusmi@sec.gov