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SEC | RIN: 3235-AJ60 | Publication ID: Fall 2017 |
Title: Exchange-Traded Funds | |
Abstract:
The Division is considering recommending that the Commission repropose new rules and rule amendments to allow certain exchange-traded funds to operate without first obtaining exemptive orders from the Commission. Exchange-traded funds are investment companies registered under the Investment Company Act as open-end investment companies or unit investment trusts. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 270.6c-11 17 CFR 270.12d1-4 17 CFR 270.12d1-2 | |
Legal Authority: 15 U.S.C. 80a-6(c) 15 U.S.C. 80a-37(a) 15 U.S.C. 80a-12(d)(1)(J) 15 U.S.C. 80a-8(b) 15 U.S.C. 80a-24a 15 U.S.C. 80a-29 15 U.S.C. 77f 15 U.S.C. 77g(a) 15 U.S.C. 77j 15 U.S.C. 77s(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2008/33-8901.pdf | |
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 |