Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
The Securities and Exchange Commission ("Commission") is adopting technical amendments to various rules under the Investment Advisers Act of 1940 ("Advisers Act") to reflect a Federal court's vacatur of new rules and rule amendments that the Commission adopted on August 23, 2023. The Commission adopted new rules designed to protect investors who directly or indirectly invest in private funds, corresponding amendments to the Advisers Act books and records rule to facilitate compliance with the new rules and assist examination staff, and additional amendments to the Advisers Act compliance rule to better enable staff to conduct examinations (together, the "Private Fund Adviser Rules"). The court's vacatur of the Private Fund Adviser Rules was effective as of June 5, 2024, and had the legal effect of: vacating the new rules and the reservation of a rule number in the Code of Federal Regulations ("CFR"); as well as vacating the amendments to the existing books and records and compliance rules such that those vacated amendments are no longer in effect. These technical amendments revise the CFR to reflect the court's vacatur of the Private Fund Adviser Rules.
Conforming Amendments to Commission Rules and Forms
The Securities and Exchange Commission ("Commission") is adopting amendments to correct certain errors in various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The Commission is also amending a rule that displays control numbers assigned to information collection requirements by the Office of Management and Budget pursuant to the Paperwork Reduction Act.
Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans
The Securities and Exchange Commission ("Commission") is adopting amendments to certain rules in the Covered Clearing Agency Standards ("CCA Standards") under the Securities Exchange Act of 1934 ("Exchange Act") and the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). The amendments strengthen existing rules by adding new requirements related to the collection of intraday margin by a covered clearing agency ("CCA") and the use of substantive inputs in its risk-based margin system. The Commission is also adopting a new rule to establish required elements of a CCA's recovery and orderly wind-down plan ("RWP").
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