federal_register: 2016-15675

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2016-15675 Adviser Business Continuity and Transition Plans Proposed Rule The Securities and Exchange Commission ("Commission" or "SEC") is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 ("Advisers Act"). The proposed rule would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans reasonably designed to address operational and other risks related to a significant disruption in the investment adviser's operations. The proposal would also amend rule 204-2 under the Advisers Act to require SEC-registered investment advisers to make and keep all business continuity and transition plans that are currently in effect or at any time within the past five years were in effect. 2016-07-05 2016 7 https://www.federalregister.gov/documents/2016/07/05/2016-15675/adviser-business-continuity-and-transition-plans https://www.govinfo.gov/content/pkg/FR-2016-07-05/pdf/2016-15675.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission" or "SEC") is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 ("Advisers Act"). The proposed rule would require SEC-registered investment advisers to adopt and... 3235-AL62

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