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SEC | RIN: 3235-AH75 | Publication ID: Fall 1999 |
Title: ●Role of Independent Directors of Investment Companies | |
Abstract: The Commission proposed amendments to rules under the Investment Company Act to enhance the independence and effectiveness of investment company (fund) boards of directors and to better enable shareholders to assess the independence of directors. The Commission also proposed amendments that would require funds to disclose in their proxy statements, annual reports, and registration statements more information regarding fund directors, including, among other things, directors' potential conflicts of interest. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 270.2a19-1 17 CFR 270.2a19-3 17 CFR 270.10f-3 17 CFR 270.12b-1 17 CFR 270.15a-4 17 CFR 270.17a-7 17 CFR 270.17d-1 17 CFR 270.17e-1 17 CFR 270.17g-1 17 CFR 270.18f-3 17 CFR 270.23c-3 ... 17 CFR 270.30d-1 17 CFR 270.31a-2 17 CFR 274.11A 17 CFR 274.11a-1 17 CFR 274.11b 17 CFR 240.14a-101 17 CFR 270.17a-8 (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 USC 80a-6(c) 15 USC 80a-8 15 USC 80a-24(a) 15 USC 80a-20(a) 15 USC 80a-29(e) 15 USC 80a-30 15 USC 80a-37 15 USC 78n 15 USC 78w(a)(1) 15 USC 77e 15 USC 77f 15 USC 77g 15 USC 77j 15 USC 77(s)(a) ... |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | |
Included in the Regulatory Plan: No | |
Agency Contact: Robert S. Kim Office of Regulatory Policy, Division of Investment Management Securities and Exchange Commission Phone:202 942-7961 |