3235-AN07 202210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

The Division is considering recommending that the Commission adopt rules under the Advisers Act to address lack of transparency, conflicts of interest, and certain other matters involving private fund advisers. 

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 275.204-2 17 CFR 275.206(4)-7 17 CFR 275.206(4)-10 17 CFR 275.211(h)(1)-1 17 CFR 275.211(h)(2)-1 17 CFR 275.211(h)(2)-2 17 CFR 275.211(h)(2)-3 ... 15 U.S.C. 80b-1 et seq. No NPRM 03/24/2022 87 FR 16886 NPRM Comment Period End 04/25/2022 NPRM Comment Period Reopened 05/12/2022 87 FR 29059 NPRM Comment Period End 06/13/2022 Final Action 04/00/2023 Yes Businesses Undetermined No Yes No Melissa Harke Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-6722 harkem@sec.gov 100 F Street NE, Washington DC 20549