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SEC | RIN: 3235-AL07 | Publication ID: Fall 2011 |
Title: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds | |
Abstract: The Commission proposed 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: Previously 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:
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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. |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Federalism: Undetermined | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2011/45-65545/pdf | |
RIN Data Printed in the FR: No | |
Agency Contact: Anthony Kelly Securities and Exchange Commission Division of Trading and Markets, 100 F Street NW, Washington, DC 20549 Phone:202 551-4545 |