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SEC

RIN: 3235-AN18

Publication ID: Fall 2022

Title: ●Outsourcing by Investment Advisers
Abstract: 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

Timetable:

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 Email: stewartm@sec.gov