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SEC RIN: 3235-AJ11 Publication ID: Fall 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: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
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
Action Date FR Cite
NPRM  02/10/2004  69 FR 6438   
NPRM Comment Period End  04/12/2004    
Final Action  12/00/2004    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
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