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TREAS/OCC RIN: 1557-AD44 Publication ID: Spring 2011 
Title: ●Prohibitions on Proprietary Trading and Certain Relationships With Hedge Funds and Private Equity Funds 
Abstract: This joint rulemaking would implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 619 directs the OCC, jointly with the FRB and FDIC and in coordination with the SEC and the CFTC, to consider findings of an FSOC study on section 619 and to adopt rules to carry out section 619. Section 619 generally prohibits banking entities, subject to certain statutory exceptions, from engaging in proprietary trading activities and from acquiring or retaining an ownership interest in or sponsoring a hedge fund or a private equity fund. 
Agency: Department of the Treasury(TREAS)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: PL 111-203 sec 619    12 USC 1851   
Legal Deadline:
Action Source Description Date
Final  Statutory  Final Rule  10/18/2011 
Timetable:
Action Date FR Cite
NPRM  06/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
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