View Rule

View EO 12866 Meetings

Printer-Friendly Version     Download RIN Data in XML

---

SEC

RIN: 3235-AL28

Publication ID: 2012

Title: ●Temporary Rule for Principal Trades With Certain Advisory Clients
Abstract: The Commission proposed amending Rule 206(3)-3(T) under the Investment Advisers Act, which provides investment advisers who are also registered broker-dealers an alternative means of compliance with the principal trading restrictions in section 206(3) of the Investment Advisers Act. The rule is set to expire on December 31, 2012. The Commission proposed extending the sunset date to December 31, 2014.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: First time published in the Unified Agenda	Agenda Stage of Rulemaking: Final Rule Stage
Major: Undetermined	Unfunded Mandates: No
CFR Citation: 17 CFR 275.206(3)-3
Legal Authority: 15 USC 80b-6a    15 USC 80b-11(a)

Legal Deadline:  None

Timetable: Action Date FR Cite NPRM  10/12/2012  77 FR 62185    NPRM Comment Period End  11/13/2012  Final Action  12/00/2012

Regulatory Flexibility Analysis Required: Undetermined	Government Levels Affected: None
Federalism: No
Included in the Regulatory Plan: No
RIN Information URL: www.sec.gov/rules/proposed/2012/ia-3483.pdf
RIN Data Printed in the FR: No
Agency Contact: Holly Hunter-Ceci Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6825 Email: hunter-cecih@sec.gov