RIN Data

SEC RIN: 3235-AL62 Publication ID: Fall 2016 
Title: Adviser Business Continuity and Transition Plans  

The Commission proposed a new rule that would require investment advisers registered with the Commission to adopt and implement written business continuity and transition plans.

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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 80b-4    15 U.S.C. 80b-6(4)    15 U.S.C. 80b-11(a)   
Legal Deadline:  None
Action Date FR Cite
NPRM  07/05/2016  81 FR 43530   
NPRM Comment Period End  09/06/2016 
Final Action  10/00/2017 
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/2016/ia-4439.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Alpa Patel
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6797
Email: patelalp@sec.gov