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SEC RIN: 3235-AM03 Publication ID: Fall 2017 
Title: Mandatory Electronic Submissions for Orders Under the Advisers Act and Confidential Treatment Requests Made on Form 13F 
Abstract:

The Division is considering recommending that the Commission propose to require electronic filing for applications of orders under any section of the Investment Advisers Act of 1940 and of confidential treatment requests for filings made under section 13(f) of the Securities Exchange Act of 1934. The Division is also considering a recommendation to permit an alternate format for submitting an application for orders under any section of the Investment Company Act of 1940.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Melissa Harke
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6722
Email: harkem@sec.gov