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SEC | RIN: 3235-AM02 | Publication ID: Fall 2017 |
Title: Amendments to Investment Advisers Act Rules to Conform to the FAST Act | |
Abstract:
The Division is considering recommending that the Commission adopt amendments to rule 203(l)-1 and rule 203(m)-1 under the Investment Advisers Act of 1940 in order to reflect changes made to sections 203(l) and 203(m) of the Act regarding the registration of investment advisers to small business investment companies by the Fixing America’s Surface Transportation Act of 2015 (the FAST Act). |
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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: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: Undetermined |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 275 | |
Legal Authority: 15 U.S.C. 80b-11(a) 15 U.S.C. 80b-3(l) 15 U.S.C. 80b-3(m) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Federalism: Undetermined | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2017/33-10390.pdf | Public Comment URL: www.sec.gov/comments/S7-05-17/S70517.htm |
RIN Data Printed in the FR: No | |
Agency Contact: Mike Neus Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:212 336-5561 Email: neusmi@sec.gov |