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SEC RIN: 3235-AL07 Publication ID: Spring 2011 
Title: ●Prohibitions on Proprietary Trading and Certain Relationships With Hedge Funds and Private Equity Funds 
Abstract: The Division is considering recommending that the Commission propose new rules to implement the prohibitions under section 619 of the Dodd-Frank Act on proprietary trading and certain relationships with hedge funds and private equity funds. 
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: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 USC 78b    15 USC 78o    15 USC 78q    12 USC 1851   
Legal Deadline:
Action Source Description Date
Final  Statutory    10/18/2011 

Overall Description of Deadline: New section 13 of the Bank Holding Company Act requires the Commission, within nine months of a related Financial Stability Oversight Council study (which was published January 18, 2011), to adopt rules to carry out the section's requirements.

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:
Rajal Patel
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5870
Email: patelrajal@sec.gov