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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:
Sarah Buescher
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5192
Email: bueschers@sec.gov

 
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