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SEC | RIN: 3235-AJ11 | Publication ID: Spring 2004 |
Title: ●Rule 15c2-2: Confirmation of Transactions in Open-End Management Investment Company Shares, Unit Investment Trust Interests, and Municipal Fund Securities Used for Education Savings | |
Abstract: The Commission has proposed new Rules 15c2-2 and 15c2-3 under the Securities and Exchange Act of 1934, together with accompanying Schedules 15C and 15D. The Commission also proposed related amendments to Rule 10b-10. Proposed Rules 15c2-2 and 15c2-3 and Schedules 15C and 15D would provide for improved confirmation and pre-transaction "point of sale" disclosure of distribution costs and conflicts of interest associated with transactions in mutual funds, municipal fund securities and unit investment trusts. The amendments to Rule 10b-10 in part would reflect the new rules, and would provide improved confirmation disclosure about certain callable securities, and also would clarify that the confirmation disclosure requirements do not determine broker-dealer disclosure obligations under other provisions of the law. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.15c2-2 17 CFR 240.15c2-3 17 CFR 240.10b-10 | |
Legal Authority: 15 USC 78j 15 USC 78k 15 USC 78o 15 USC 78q 15 USC 78w(a) 15 USC 78mm |
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 | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/33-8358.htm | Public Comment URL: www.sec.gov/rules.shtml |
Related RINs: Related to 3235-AJ12, Related to 3235-AJ13, Related to 3235-AJ14 | |
Agency Contact: David Blass Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6787 |