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DOL/EBSA RIN: 1210-AA80 Publication ID: Spring 2002 
Title: Regulation Exempting Certain Broker-Dealers and Investment Advisers From Bonding Requirements 
Abstract: This proposed regulation would provide an exemption from the bonding requirements of Section 412(a) of ERISA for certain broker-dealers and investment advisers who handle plan assets. 
Agency: Department of Labor(DOL)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: 29 CFR 2580   
Legal Authority: 29 USC 1135    29 USC 1112   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/00/2002    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
Agency Contact:
Jeffrey J. Turner
Deputy Director, Office of Regulations and Interpretations
Department of Labor
Employee Benefits Security Administration
Room N5669, 200 Constitution Avenue NW, FP Building, Room N-5655,
Washington, DC 20210
Phone:202 693-8500