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SEC RIN: 3235-AJ96 Publication ID: Fall 2008 
Title: Temporary Rule Regarding Principal Trades With Certain Advisory Clients 
Abstract: The Commission adopted on an interim final basis a temporary rule that will expire on December 31, 2009, to provide an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when acting in a principal capacity in transactions with certain of their advisory clients. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.206(3)    17 CFR 275.206(3)-3T   
Legal Authority: 15 USC 80b-6a    15 USC 80b-11(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Interim Final Rule  09/28/2007  72 FR 55022   
Interim Final Rule Effective  09/30/2007    
Interim Final Rule Comment Period End  11/30/2007    
Final Action  11/00/2008    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/final/2007/ia-2653fr.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Matthew Goldin
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6726
Fax:202 772-9284
Email: goldinm@sec.gov