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SEC RIN: 3235-AM69 Publication ID: Spring 2021 
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 of 1940 concerning the exemption of certain purchase or sale transactions between an investment company and certain affiliated persons.

 
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 
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
Timetable:
Action Date FR Cite
NPRM  04/00/2022 
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:
Adam Lovell
Senior Counsel
Securities and Exchange Commission
100 F Street, NE,
Washington, DC 20549
Phone:202 551-6637
Email: lovella@sec.gov