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SEC RIN: 3235-AM67 Publication ID: Fall 2020 
Title: Amendments to the Family Office Rule 

The Division is considering recommending that the Commission propose targeted amendments to the family office rule under section 202(a)(11) of the Investment Advisers Act of 1940.  Family offices, as so defined in the Act, are excluded from the Act’s definition of investment adviser, and are thus not subject to any of the provisions of the Act.

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 275.202(a)(11)(G)-1   
Legal Authority: 15 U.S.C. 80b-2(a)(11)(G)    15 U.S.C. 80b-6a   
Legal Deadline:  None
Action Date FR Cite
NPRM  05/00/2021 
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:
Alexis Palascak
Securities and Exchange Commission
100 F Street, NE,
Washington, DC 20549
Phone:202 551-6246