Public Comments


The Securities and Exchange Commission is proposing amendments to rules to convert the filing of certain applications, confidential treatment requests, and forms from paper to electronic submission. Specifically, we propose to amend our rules to require that the following types of filings be submitted via our Electronic Data Gathering, Analysis, and Retrieval ("EDGAR') system: Applications for orders under any section of the Investment Advisers Act of 1940 ("Advisers Act') and confidential treatment requests for filings made under section 13(f) of the Securities Exchange Act of 1934 ("Exchange Act'). We also propose rule amendments to harmonize the requirements for the submission of applications for orders under the Advisers Act and the Investment Company Act of 1940 ("Investment Company Act'). In addition, we propose to amend other rules and a form to require the electronic submission of Form ADV-NR through the Investment Adviser Registration Depository ("IARD') system. We also propose to require non-resident general partners and non-resident managing agents to amend their Form ADV-NR within 30 days whenever any information contained in the form becomes inaccurate by filing with the Commission a new Form ADV-NR. Further, we are re- proposing amendments to Form 13F to require managers to provide additional identifying information. Finally, we are re-proposing certain technical amendments to Form 13F, including modernizing the structure of data reporting and amending the instructions on Form 13F for confidential treatment requests in light of a recent decision of the U.S. Supreme Court.

Prior Actions

Proposed Rule (34-93518)