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SEC RIN: 3235-AL56 Publication ID: Fall 2014 
Title: Temporary Rule Regarding 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. The Commission proposed a temporary rule to extend that date to December 31, 2016.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final 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
Timetable:
Action Date FR Cite
NPRM  08/18/2014  79 FR 48709   
NPRM Comment Period End  09/17/2014 
Next Action  12/00/2014 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2014/ia-3893  
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