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SEC RIN: 3235-AM10 Publication ID: Fall 2019 
Title: Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, And Relationships With Hedge Funds and Private Equity Funds 
Abstract:

The Division is considering recommending that the Commission adopt, jointly with other financial regulators, amendments to the SEC’s final rule implementing section 619 of the Dodd-Frank Act, commonly referred to as the Volcker Rule.  The amendments are intended to provide banking entities with greater clarity and certainty about what activities are prohibited under the final rule and seek to improve effective allocation of compliance resources where possible.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 12 CFR 255   
Legal Authority: 12 U.S.C. 1851   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/17/2018  83 FR 33432   
NPRM Comment Period Extended  09/11/2018  83 FR 45860   
NPRM Comment Period End  09/17/2018 
NPRM Comment Period Extended End  10/17/2018 
Final Action  12/00/2019 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related Agencies: Joint: TREAS/OCC, FRS, FDIC, CFTC; 
Agency Contact:
Samuel A. Litz
Attorney-Adviser, Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20002
Phone:202 551-8309
Email: litzs@sec.gov