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SEC

RIN: 3235-AJ11

Publication ID: Fall 2009

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 proposed new Rule 15c2-2 under the Exchange Act, together with accompanying Schedule 15C. The Commission also proposed related amendments to Rule 10b-10. Proposed Rule 15c2-2 and Schedule 15C would provide for improved confirmation 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 rule 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: Long-Term Actions
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

Timetable:

Action	Date	FR Cite
NPRM	02/10/2004	69 FR 6438
NPRM Comment Period End	04/12/2004
NPRM Comment Period Extended	03/04/2005	70 FR 10521
NPRM Comment Period End	04/04/2005
Next Action Undetermined	To Be Determined

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-AJ12, Related to 3235-AJ13, Related to 3235-AJ14
Agency Contact: Alicia Goldin Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5618 Fax:202 772-9270 Email: goldina@sec.gov