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SEC RIN: 3235-AJ60 Publication ID: Fall 2018 
Title: Exchange-Traded Funds 

The Division is considering recommending that the Commission adopt 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.

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
Action Date FR Cite
NPRM  03/18/2008  73 FR 14618   
NPRM Comment Period End  05/19/2008    
Second NPRM  07/31/2018  83 FR 37332   
Second NPRM Comment Period End  10/01/2018 
Final Action  09/00/2019 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
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