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SEC | RIN: 3235-AJ11 | Publication ID: Spring 2011 |
Title: 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 |
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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-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 |