3235-AN34 202510 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

The Division is considering recommending that the Commission, jointly with the Department of the Treasury, issue a final rule implementing section 326 of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001 with regard to certain investment advisers that, among other things, requires those investment advisers, as financial institutions under the Bank Secrecy Act, to implement reasonable procedures to verify the identities of their customers.

]]> Other Significant Previously Published in The Unified Agenda Long-Term Actions Undetermined No Other 31 CFR 1032 Pub. L. 107–56 31 U.S.C. 5311 et seq. No NPRM 05/21/2024 89 FR 44571 NPRM Comment Period End 07/22/2024 NPRM 07/00/2027 YES Businesses Undetermined No https://www.govinfo.gov/content/pkg/FR-2024-05-21/pdf/2024-10738.pdf Yes Yes Ted Uliassi Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-6095 uliassit@sec.gov 100 F St NE, Washington DC 20549