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SEC | RIN: 3235-AL56 | Publication ID: Spring 2014 |
Title: ●Rule for Principal Trades With Certain Advisory Clients | |
Abstract: Rule 206(3)-3T, a rule that 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, will expire on 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: Proposed Rule Stage |
Major: No | Unfunded Mandates: No |
CFR Citation: 17 CFR 270.206(3)-3T | |
Legal Authority: 15 USC 80b-6a 15 USC 80b-11(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: Yes | |
Related RINs: Related to 3235-AJ96 | |
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 |