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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 

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).

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
Action Date FR Cite
NPRM  05/09/2017  82 FR 21487   
NPRM Comment Period End  06/08/2017 
Final Action  10/00/2018 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:   Public Comment URL:  
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