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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:
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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. |
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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 | |
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 Email: mokodeana@sec.gov |