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SEC RIN: 3235-AN45 Publication ID: Spring 2025 
Title: ●Amendments to Rule 17a-7 Under the Investment Company Act 
Abstract:

The Division is considering recommending that the Commission propose amendments to rule 17a-7 under the Investment Company Act of 1940 to modernize the conditions for and expand the availability of the exemption of certain purchase or sale transactions between an investment company and certain affiliated persons. 

 
Agency: Securities and Exchange Commission(SEC)  Priority: Economically Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Deregulatory 
CFR Citation: 17 CFR 270.17a-7   
Legal Authority: 15 U.S.C. 80a-6(c)    15 U.S.C. 80a-10(f)    15 U.S.C. 80a-17(d)    15 U.S.C. 80-37(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/00/2026 
Regulatory Flexibility Analysis Required: YES  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Michael Khalil
Senior Counsel
Securities and Exchange Commission
100 F Street, NE,
Washington, DC 20549
Phone:202 551-6792
Email: khalilm@sec.gov