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SEC RIN: 3235-AM97 Publication ID: Fall 2022 
Title: Electronic Submission of Applications for Orders Under the Advisers Act, Confidential Treatment Requests for Filings on Form 13F, and ADV-NR 
Abstract:

The Commission adopted amendments to rules to convert the filing of certain applications, confidential treatment requests, and forms from paper to electronic submission. Among other things, the Commission amended its rules to require that the following types of filings be submitted via our Electronic Data Gathering, Analysis, and Retrieval system: applications for orders under any section of the Investment Advisers Act of 1940 and confidential treatment requests for filings made under section 13(f) of the Securities Exchange Act of 1934.

 
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 
CFR Citation: 17 CFR 232.11    17 CFR 232.100    17 CFR 232.101    17 CFR 232.102    17 CFR 232.201    17 CFR 275.0–4    17 CFR 275.203-1    17 CFR 279.4    17 CFR 279.1    17 CFR 270.0–2    17 CFR 240.24b–2    17 CFR 249.325    ...     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78c    15 U.S.C. 78l    15 U.S.C. 78m    15 U.S.C. 78n    15 U.S.C. 780(2)    15 U.S.C. 782(a)    15 U.S.C. 78ll    15 U.S.C. 80a-8    15 U.S.C. 80a-29    15 U.S.C. 80a-30    15 U.S.C. 80a-37    15 U.S.C. 80b-3    15 U.S.C. 80b-4    15 U.S.C. 80b-6a    15 U.S.C. 80b-10    15 U.S.C. 80b-11    ...   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/19/2021  86 FR 64839   
NPRM Comment Period End  12/20/2021 
Final Action  06/30/2022  87 FR 38943   
Final Action Effective, except for Form 13F amendments (ref in 17 CFR 249.325), effective 1/3/23   08/29/2022  87 FR 38943   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Zeena Abdul-Rahman
Branch Chief, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-4099
Email: abdulrahmanz@sec.gov