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TREAS/OCC RIN: 1557-AD44 Publication ID: Fall 2013 
Title: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 
Abstract: The banking agencies, SEC, and CFTC, issued proposed rules that implement section 619 of the Dodd-Frank Act, which contains certain prohibitions and restrictions on the ability of banking entities and nonbank financial companies supervised by the Federal Reserve Board to engage in proprietary trading and have certain investments in, or relationships with, hedge funds or private equity funds. 
Agency: Department of the Treasury(TREAS)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: 12 CFR 44 
Legal Authority: 7 USC 27 et seq; 12 USC 1; 12 USC 24; 12 USC 92a; 12 USC 93a; 12 USC 161; 12 USC 1461; 12 USC 1462a; 12 USC 1463 to 1464; 12 USC 1813(q); 12 USC 1818; 12 USC 1851; 12 USC 3101 to 3102; 12 USC 3108; 12 USC 5412 
Legal Deadline:
Action Source Description Date
Final  Statutory  Final Rule  10/18/2011 
Timetable:
Action Date FR Cite
NPRM  11/07/2011  76 FR 68846 
NPRM Comment Period Extended  01/03/2012  77 FR 23 
NPRM Comment Period End  02/13/2012   
Final Action  12/00/2013   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Deborah Katz
Assistant Director
Department of the Treasury
Comptroller of the Currency
Legislative and Regulatory Activities Division, 400 7th Street SW.,
Washington, DC 20219
Phone:202 649-6278
Email: deborah.katz@occ.treas.gov

Ursula Pfeil
Counsel
Department of the Treasury
Comptroller of the Currency
Legislative and Regulatory Activities Division, 400 7th Street SW.,
Washington, DC 20219
Phone:202 649-6288
Email: ursula.pfeil@occ.treas.gov

 
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