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SEC RIN: 3235-AM32 Publication ID: Spring 2024 
Title: Safeguarding Advisory Client Assets 

The Division is considering recommending that the Commission repropose amendments to existing rules and/or adopt new rules under the Investment Advisers Act of 1940 to improve and modernize the regulations around the custody of funds or investments of clients by Investment Advisers.  

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 275.223-1    17 CFR 275.204-2   
Legal Authority: 15 U.S.C. 80b-4    15 U.S.C. 80b-6(4)    15 U.S.C. 80b-11(a)    15 U.S.C. 80b-3(c)(1)    15 U.S.C. 80b-18b    15 U.S.C. 80b-11    15 U.S.C. 80b-23   
Legal Deadline:  None
Action Date FR Cite
NPRM  03/09/2023  88 FR 14672   
NPRM Comment Period End  05/08/2023 
NPRM Comment Period Reopened  08/30/2023  88 FR 59818   
NPRM Comment Period Reopened End  10/30/2023 
Second NPRM  10/00/2024 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Christopher Staley
Branch Chief, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-8475