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SEC RIN: 3235-AN18 Publication ID: Fall 2022 
Title: ●Outsourcing by Investment Advisers 

The Division is considering recommending that the Commission propose rules related to the oversight of third-party service providers.

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.204-2(a)(20) (NEW)    17 CFR 275.204-2(e)(4) (NEW)    17 CFR 275.204-2(l) (NEW)    17 CFR 275.206(4)-11 (NEW)   
Legal Authority: 15 U.S.C. 80b-3(d) and 80b-3(c)(1) and 80b-11(a) and (h)    15 U.S.C. 10b-6(4)    15 U.S.C. 80b-4 and 80b-11    15 U.S.C. 77s(a) and 78w(a) and 78bb(e)(2)    15 U.S.C. 7sss(a) and 15 U.S.C. 80a-37(a)    ...   
Legal Deadline:  None
Action Date FR Cite
NPRM  04/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Mark Stewart
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-4410