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SEC | RIN: 3235-AM69 | Publication ID: Fall 2019 |
Title: ●Amendments to Rule 17a-7 Under the Investment Company Act | |
Abstract:
The Division is considering recommending that the Commission propose amendments to rule 17a-7 under the Investment Company Act concerning the exemption of certain purchase or sale transactions between an investment company and certain affiliated persons. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Long-Term Actions |
Major: Undetermined | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 270.17a-7 | |
Legal Authority: 15 U.S.C. 80a-6(c) 15 U.S.C. 80a-10(f) 15 U.S.C. 80a-17(d) 15 U.S.C. 80a-37(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: Yes | |
Agency Contact: Jacob Krawitz Branch Chief, Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-4673 Email: krawitzk@sec.gov |