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TREAS/OCC RIN: 1557-AD44 Publication ID: Fall 2013 
Title: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 
Abstract: The banking agencies, SEC, and CFTC, issued proposed rules that implement section 619 of the Dodd-Frank Act, which contains certain prohibitions and restrictions on the ability of banking entities and nonbank financial companies supervised by the Federal Reserve Board to engage in proprietary trading and have certain investments in, or relationships with, hedge funds or private equity funds. 
Agency: Department of the Treasury(TREAS)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: 12 CFR 44   
Legal Authority: 7 USC 27 et seq    12 USC 1    12 USC 24    12 USC 92a    12 USC 93a    12 USC 161    12 USC 1461    12 USC 1462a    12 USC 1463 to 1464    12 USC 1813(q)    12 USC 1818    12 USC 1851    12 USC 3101 to 3102    12 USC 3108    12 USC 5412   
Legal Deadline:
Action Source Description Date
Final  Statutory  Final Rule  10/18/2011 
Timetable:
Action Date FR Cite
NPRM  11/07/2011  76 FR 68846   
NPRM Comment Period Extended  01/03/2012  77 FR 23   
NPRM Comment Period End  02/13/2012    
Final Action  12/00/2013 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
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