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SEC | RIN: 3235-AJ13 | Publication ID: Fall 2008 |
Title: Rule 15c-100: Schedule 15C | |
Abstract: The Commission proposed new Schedule 15 and Rules 15c2-2 and 15c2-3 under the Exchange Act, together with accompanying Schedule 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. They 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: Proposed 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/33-8544.htm | |
RIN Data Printed in the FR: Yes | |
Related RINs: Related to 3235-AJ11, Related to 3235-AJ12, Related to 3235-AJ14 | |
Agency Contact: Dawn Jessen Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5588 Fax:202 772-9270 Email: jessend@sec.gov |