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SEC RIN: 3235-AM65 Publication ID: Fall 2019 
Title: ●Amendments to Form 13F Filer Threshold 
Abstract:

The Division is considering recommending that the Commission propose rule and related form amendments regarding the thresholds for Form 13F filers.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time 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 240.13f-1    17 CFR 249.325   
Legal Authority: 15 U.S.C. 78c(b)    15 U.S.C. 78m(f)    15 U.S.C. 78w    15 U.S.C. 78x    15 U.S.C. 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/00/2020 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses, Governmental Jurisdictions, Organizations  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Mark Uyeda
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6775
Email: uyedam@sec.gov