United States of America: Amendment to Rule 203A-2(e) under the Investment Advisers Act of 1940
Progress
Current status
adopted
27 Mar 2024 adopted
26 Jul 2023 under deliberation
Scope
Implementers
United States of America
Policy Area
Authorisation, registration and licensing
Policy Instrument
Business registration requirement
Regulated Economic Activity
other service provider
Government Branch
executive
Government Body
other regulatory body
Implementation Level
national
Timeline of events
Adopted SEC Rule amending section 203A-2(e) permitting certain investment advisers to register with the Securities and Exchange Commission
On 27 March 2024, the Securities and Exchange Commission (SEC) adopted a rule amending section 203A-2(e) under the Investment Advisers Act of 1940, permitting certain investment advisers to register with the SEC. The rule redefines the conditions se…
SourceEvent type
order
Action type
adoption
Government branch
executive
Government body
other regulatory body
Proposed Amendment to Rule 203A-2(e) permitting certain investment advisers to register with the Securities and Exchange Commission
On 26 July, the Securities and Exchange Commission (SEC) published a proposed Amendment to Rule 203A-2(e) under the Investment Advisers Act of 1940. Under the current framework, advisers may not register with the SEC, and it provides few exceptions.…
SourceEvent type
order
Action type
announcement
Government branch
executive
Government body
other regulatory body