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SEC RIN: 3235-AJ96 Publication ID: Fall 2010 
Title: Temporary Rule Regarding Principal Trades With Certain Advisory Clients 
Abstract: The Division is considering recommending that the Commission propose an amendment to extend the sunset date of 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. 
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 275.206(3)-3T   
Legal Authority: 15 USC 80b-6a    15 USC 80b-11(a)   
Legal Deadline:  None
Action Date FR Cite
Interim Final Rule  09/28/2007  72 FR 55022   
Interim Final Rule Effective  09/30/2007    
Interim Final Rule Comment Period End  11/30/2007    
Interim Final Rule Extension  12/30/2009  74 FR 690009   
Interim Final Rule Effective  12/30/2009    
Interim Final Rule Extension  12/00/2010    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: Yes 
Agency Contact:
Matthew Goldin
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6726
Fax:202 772-9284