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SEC | RIN: 3235-AM67 | Publication ID: Fall 2020 |
Title: Amendments to the Family Office Rule | |
Abstract:
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. |
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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 |
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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: Alexis Palascak Senior Counsel Securities and Exchange Commission 100 F Street, NE, Washington, DC 20549 Phone:202 551-6246 Email: palascaka@sec.gov |