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SEC RIN: 3235-AM97 Publication ID: Spring 2022 
Title: Electronic Submission of Applications for Orders Under the Advisers Act, Confidential Treatment Requests for Filings on Form 13F, and ADV-NR 
Abstract:

The Division is considering recommending that the Commission adopt amendments to rules and forms to require that the following types of filings be submitted electronically: (1) applications for orders under any section of the Investment Advisers Act of 1940, (2) confidential treatment requests for filings made under section 13(f) of the Securities Exchange Act of 1934, and (3) ADV-NR. 

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78c    15 U.S.C. 78l    15 U.S.C. 78m    15 U.S.C. 78n    15 U.S.C. 780(2)    15 U.S.C. 782(a)    15 U.S.C. 78ll    15 U.S.C. 80a-8    15 U.S.C. 80a-29    15 U.S.C. 80a-30    15 U.S.C. 80a-37    15 U.S.C. 80b-3    15 U.S.C. 80b-4    15 U.S.C. 80b-6a    15 U.S.C. 80b-10    15 U.S.C. 80b-11    ...   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/19/2021  86 FR 64839   
NPRM Comment Period End  12/20/2021 
Final Action  10/00/2022 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Zeena Abdul-Rahman
Senior Counsel, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-4099
Email: abdulrahmanz@sec.gov