28 May 2025
📄SEC Proposed Collection
Proposed Collection; Comment Request; Extension: Rule 17a-10
Summary
The Securities and Exchange Commission is seeking comments on existing information collections pertaining to Rule 17a-10, which regulates transactions between registered investment companies and their affiliates. The proposal emphasizes compliance requirements for subadvisers and associated documentation modifications necessary for legal adherence to the rule.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The text involves compliance and regulatory requirements concerning subadvisory contracts under Rule 17a-10 of the Investment Company Act of 1940. This may affect business owners and executives in investment firms, specifically regarding necessary contract amendments and associated costs.