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SEC RIN: 3235-AL42 Publication ID: Fall 2017 
Title: Investment Company Reporting Modernization; Option for Website Transmission of Shareholder Reports 

The Commission adopted new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies.  The Commission proposed new rule 30e-3, which would permit, but not require registered investment companies to transmit periodic reports to their shareholders by making the reports accessible on a website and satisfying certain other conditions. The Commission has not finalized proposed rule 30e-3.

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: Yes  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 200    17 CFR 210    17 CFR 232    17 CFR 239    17 CFR 240    17 CFR 249    17 CFR 270    17 CFR 274   
Legal Authority: 15 U.S.C. 77 et seq.    15 U.S.C. 77aaa et seq.    15 U.S.C. 78a et seq.    15 U.S.C. 80a et seq.    44 U.S.C. 3506    44 U.S.C. 3507   
Legal Deadline:  None
Action Date FR Cite
NPRM  06/12/2015  80 FR 33590   
NPRM Comment Period End  08/11/2015 
NPRM Comment Period Reopened  10/12/2015  80 FR 62274   
NPRM Comment Period Reopened End  01/13/2016 
Final Action  11/18/2016  81 FR 81870   
Final Action Effective  01/17/2017 
Final Action  10/00/2018 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: Yes 
Agency Contact:
Brian Johnson
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6740