federal_register: 2023-03681

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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
2023-03681 Safeguarding Advisory Client Assets Proposed Rule The Securities and Exchange Commission ("Commission" or "SEC") is proposing a new rule under the Investment Advisers Act of 1940 ("Advisers Act" or "Act") to address how investment advisers safeguard client assets. To effect our redesignation of the current custody rule for the proposed new safeguarding rule, we are proposing to renumber the current rule. In addition we are proposing to amend certain provisions of the current custody rule for enhanced investor protections. We also are proposing corresponding amendments to the recordkeeping rule under the Advisers Act and to Form ADV for investment adviser registration under the Advisers Act. 2023-03-09 2023 3 https://www.federalregister.gov/documents/2023/03/09/2023-03681/safeguarding-advisory-client-assets https://www.govinfo.gov/content/pkg/FR-2023-03-09/pdf/2023-03681.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission" or "SEC") is proposing a new rule under the Investment Advisers Act of 1940 ("Advisers Act" or "Act") to address how investment advisers safeguard client assets. To effect our redesignation of the... 3235-AM32

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