federal_register: 04-19089
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 04-19089 | Electronic Registration Requirements for Investment Advisers To Be Investment Managers Under Title I of ERISA | Rule | This document contains a regulation relating to the definition of investment manager in section 3(38)(B) of Title I of the Employee Retirement Income Security Act of 1974 (ERISA). Under the final regulation, in lieu of filing a copy of their state registration forms with the Secretary of Labor, state-registered investment advisers seeking to obtain or maintain investment manager status under Title I of ERISA must electronically register through the Investment Adviser Registration Depository (IARD) as an investment adviser with the state in which they maintain their principal office and place of business. The IARD is a centralized electronic filing system, established by the Securities and Exchange Commission (SEC) in conjunction with state securities authorities. The IARD enables investment advisers to satisfy SEC and state registration obligations through the use of the Internet, and current filing information in the IARD database is readily available to the Department and the general public via the Internet. The final regulation makes electronic registration through the IARD the exclusive method for state-registered investment advisers to satisfy filing requirements for investment manager status under section 3(38)(B)(ii) of Title I of ERISA. The regulation affects plan trustees, investment managers, other fiduciaries, and plan participants and beneficiaries. This document also contains conforming amendments to 29 CFR 2509.75-5 at FR-6 and FR-7, to conform them to the provisions in the final regulation. | 2004-08-24 | 2004 | 8 | https://www.federalregister.gov/documents/2004/08/24/04-19089/electronic-registration-requirements-for-investment-advisers-to-be-investment-managers-under-title-i | https://www.govinfo.gov/content/pkg/FR-2004-08-24/pdf/04-19089.pdf | Labor Department; Employee Benefits Security Administration | 271,131 | This document contains a regulation relating to the definition of investment manager in section 3(38)(B) of Title I of the Employee Retirement Income Security Act of 1974 (ERISA). Under the final regulation, in lieu of filing a copy of their state... |