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SEC RIN: 3235-AL52 Publication ID: Fall 2017 
Title: Treatment of Certain CDOs Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Eq. Fund 
Abstract:

The Commission, together with the Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, and Commodity Futures Trading Commission, adopted an interim final rule concerning the treatment of certain collateralized debt obligations backed primarily by trust preferred securities with regard to prohibitions and restrictions on certain investments in, and 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: Yes  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 255.16   
Legal Authority: 12 U.S.C. 1851   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Interim Final Rule  01/31/2014  79 FR 5223   
Interim Final Rule Comment Period End  03/03/2014 
Interim Final Rule Effective  05/01/2014 
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AL07  Related Agencies: Common: TREAS/OCC, FDIC, CFTC, FRS; 
Agency Contact:
Brian Johnson
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6740
Email: johnsonbm@sec.gov