View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AJ11 Publication ID: Spring 2010 
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 
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
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