View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AN66 Publication ID: 2026 
Title: ●Amendments to Investment Adviser Recordkeeping Rule 
Abstract:

The Division is considering recommending that the Commission propose amendments to rule 204-2 under the Investment Advisers Act of 1940, which requires investment advisers to make and keep certain records, to address the appropriate scope of and identified compliance burdens related to electronic communications and to account for certain technological developments since the rule was adopted.

 
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 275.204-2   
Legal Authority: 15 U.S.C. 80b-4   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2026 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Ted Uliassi
Division of Investment Management
Securities and Exchange Commission
100 F St NE,
Washington, DC 20549
Phone:202 551-6095
Email: uliassit@sec.gov