View Rule
View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
SEC | RIN: 3235-AN34 | Publication ID: Fall 2024 |
Title: Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers | |
Abstract:
The Division is considering recommending that the Commission, jointly with the Department of the Treasury, issue a final rule implementing section 326 of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 with regard to certain investment advisers that, among other things, requires those investment advisers, as financial institutions under the Bank Secrecy Act, to implement reasonable procedures to verify the identities of their customers. |
|
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: Pub. L. 107–56 31 U.S.C. 5311 et seq. |
Legal Deadline:
None |
||||||||||||
Timetable:
|
Regulatory Flexibility Analysis Required: YES | Government Levels Affected: Undetermined |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest. | |
RIN Information URL: https://www.govinfo.gov/content/pkg/FR-2024-05-21/pdf/2024-10738.pdf | |
RIN Data Printed in the FR: Yes | |
Agency Contact: Thomas Strumpf Branch Chief, Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 227-0576 |