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DOL/EBSA | RIN: 1210-AA94 | Publication ID: Fall 2003 |
Title: Electronic Filing By Investment Advisers | |
Abstract: Upon adoption, this proposed regulation will clarify that an electronic filing with the Investment Advisers Registration Depository (IARD), a centralized electronic filing system established by the Securities and Exchange Commission in conjunction with the NASD and State securities authorities, will satisfy the filing requirement for investment advisers seeking investment manager status under section 3(38) of ERISA. | |
Agency: Department of Labor(DOL) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: No | Unfunded Mandates: No |
CFR Citation: 29 CFR 2510.3-38 | |
Legal Authority: 29 USC 1002 note 29 USC 1002(38) 29 USC 1135 |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Federalism: No | |
Included in the Regulatory Plan: No | |
Agency Contact: Florence Novellino-Ott Pension Law Specialist Department of Labor Employee Benefits Security Administration 200 Constitution Avenue NW, FP Building, Washington, DC 20210 Phone:202 693-8500 |