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SEC RIN: 3235-AL92 Publication ID: Spring 2016 
Title: ●Third Party Compliance Assessment 
Abstract:

The Division is considering recommending that the Commission propose a rule establishing a program of third-party compliance assessment for registered investment advisers designed to improve overall compliance by registered investment advisers.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.206(4)-9 (New)   
Legal Authority: 15 U.S.C. 80b-6(a)    15 U.S.C. 80b-11(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/00/2017 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Melissa Gainor
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6805
Email: gainorm@sec.gov