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SEC RIN: 3235-AM32 Publication ID: Fall 2019 
Title: Amendments to the Custody Rules for Investment Advisers 
Abstract:

The Division is considering recommending that the Commission propose amendments to existing rules and/or propose new rules under the Investment Advisers Act of 1940 to improve and modernize the regulations around the custody of funds or investments of clients by Investment Advisers.

 
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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 80a-6(c)    15 U.S.C. 80a-17)(f)    15 U.S.C. 80a-26    15 U.S.C. 80a-28    15 U.S.C. 80a-29    15 U.S.C. 80a-30    15 U.S.C. 80a-37(a)    15 U.S.C. 80a-30    15 U.S.C. 80a-31    15 U.S.C. 80a-36    15 U.S.C. 80a-37    15 U.S.C. 80b-4    15 U.S.C. 80b-6(4)    15 U.S.C 80b-11(a)    15 U.S.C. 80b-3(c)(1)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/00/2020 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
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