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DOL/EBSA

RIN: 1210-AA94

Publication ID: Spring 2004

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: Final 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

Timetable: Action Date FR Cite NPRM  12/09/2003  68 FR 68709    NPRM Comment Period End  02/09/2004     Final Action  08/00/2004

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