View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AN07 Publication ID: Spring 2023 
Title: Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews 
Abstract:

The Division is considering recommending that the Commission adopt rules under the Advisers Act to address lack of transparency, conflicts of interest, and certain other matters involving private fund advisers. 

 
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: 17 CFR 275.204-2    17 CFR 275.206(4)-7    17 CFR 275.206(4)-10    17 CFR 275.211(h)(1)-1    17 CFR 275.211(h)(2)-1    17 CFR 275.211(h)(2)-2    17 CFR 275.211(h)(2)-3    17 CFR 275.211(h)(1)-2   
Legal Authority: 15 U.S.C. 80b-3(d)    15 U.S.C. 80b-6(4)    15 U.S.C. 80b-11(a)    15 U.S.C. 80b-11(h)    15 U.S.C. 80b-4    15 U.S.C. 80b-11   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/24/2022  87 FR 16886   
NPRM Comment Period End  04/25/2022 
NPRM Comment Period Reopened  05/12/2022  87 FR 29059   
NPRM Comment Period End  06/13/2022 
Final Action  10/00/2023 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Melissa Harke
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6722
Email: harkem@sec.gov