United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2012_register executive 2012-06-13 article Rules and Regulations D09002ee1c7fcdc7d D09002ee1c7fcdd92 United States Securities and Exchange Commission originator org United States Government Agency or Subagency 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. 77 FR 35263 https://www.govinfo.gov/app/details/FR-2012-06-13/2012-14440 2012-14440 fr13jn12-4 RIN 3235-AK39 8011-01-P Release No. IA-3418 File No. S7-18-09 https://www.govinfo.gov/app/details/FR-2012-06-13/2012-14440 https://www.govinfo.gov/content/pkg/FR-2012-06-13/html/2012-14440.htm https://www.govinfo.gov/content/pkg/FR-2012-06-13/pdf/2012-14440.pdf 2 p. 35263 35264 77 FR 35263 Title 17 Part 275 17 CFR Part 275 RIN 3235-AK39 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date; Federal Register Vol. 77, Issue RULE 2012-14440 SECURITIES AND EXCHANGE COMMISSION 2012-06-11 Release No. IA-3418 File No. S7-18-09 8011-01-P 2012-14440 Final rule; extension of compliance date.

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.

Effective date: The effective date for this release is June 11, 2012. The effective date for the ban on third-party solicitation under rule 206(4)-5 of the Investment Advisers Act of 1940 remains September 13, 2010. Vanessa M. Meeks, Attorney-Adviser, or Melissa A. Roverts, Branch Chief, at (202) 551-6787 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-8549. Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date , IArules@sec.gov http://www.msrb.org/Rules-and-Interpretations/Regulatory-Notices/2011/2011-04.aspx?n=1 http://www.msrb.org/Rules-and-Interpretations/Regulatory-Notices/2011/2011-46.aspx http://www.msrb.org/Rules-and-Interpretations/Regulatory-Notices/2011/2011-51.aspx Vol. 77, no. 114 Office of the Federal Register, National Archives and Records Administration 2012-06-13 continuing daily deposited born digital 383 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-06-13 P0b002ee182953108 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13jn12 https://www.govinfo.gov/app/details/FR-2012-06-13 https://www.govinfo.gov/content/pkg/FR-2012-06-13/pdf/FR-2012-06-13.pdf https://www.govinfo.gov/content/pkg/FR-2012-06-13/xml/FR-2012-06-13.xml fdlp 35241 35615 DGPO 2012-06-13 2024-06-03 FR-2012-06-13 machine generated eng FR FR-2012-06-13 77 114