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SEC RIN: 3235-AL07 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 Commission, together with the Department of the Treasury, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation, 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: Long-Term Actions 
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 9 months of a related Financial Stability Oversight Council study (which was published Jan. 18, 2011), to adopt rules to carry out the section's requirements.

Action Date FR Cite
NPRM  11/07/2011  76 FR 68846   
NPRM Comment Period End  01/13/2012    
NPRM Comment Period Extended  01/03/2012  77 FR 23   
NPRM Comment Period Extended End  02/13/2012 
Next Action Undeteremined  To Be Determined 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Related RINs: Related to 1557-AD44, Related to 7100-AD82, Related to 3064-AD85  Related Agencies: Joint: TREAS, FDIC; 
Agency Contact:
Angela Mokodean
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5490