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Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date

SEC · final-rule · Published 2012-06-13 · Effective 2012-06-11 · 77 FR 35263

Document

Document number
2012-14440
Federal Register citation
77 FR 35263
CFR reference
17 CFR 275
Type
Rule
Action
Final rule; extension of compliance date.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2012-06-13
Effective date
2012-06-11
Docket
Release No. IA-3418

Abstract

The Securities and Exchange Commission ("Commission" or "SEC") is extending the date by which advisers must comply with the ban on third-party solicitation in rule 206(4)-5 under the Investment Advisers Act of 1940, the "pay to play" rule. The Commission is extending the compliance date in order to ensure an orderly transition for advisers and third-party solicitors as well as to provide additional time for them to adjust compliance policies and procedures after the transition.

Source

Authoritative
Federal Register document
Machine
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