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SEC RIN: 3235-AJ60 Publication ID: Fall 2010 
Title: Exchange-Traded Funds 
Abstract: The Commission proposed new rules and rule amendments to provide exemptive relief for index-based and actively managed exchange-traded funds. Exchange-traded funds are investment companies registered under the Investment Company Act as open-end investment companies or unit investment trusts. 
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 
CFR Citation: 17 CFR 270.6c-11    17 CFR 270.12d1-4    17 CFR 270.12d1-2   
Legal Authority: 15 USC 80a-6(c)    15 USC 80a-37(a)    15 USC 80a-12(d)(1)(J)    15 USC 80a-8(b)    15 USC 80a-24a    15 USC 80a-29    15 USC 77f    15 USC 77g(a)    15 USC 77j    15 USC 77s(a)   
Legal Deadline:  None
Action Date FR Cite
NPRM  03/18/2008  73 FR 14618   
NPRM Comment Period End  05/19/2008    
Final Action  09/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Adam B. Glazer
Division of Investment Management
Securities and Exchange Commission
100 F Street NE.,
Washington, DC 20549
Phone:202 551-6732