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Temporary Rule Regarding Principal Trades With Certain Advisory Clients

SEC · final-rule · Published 2012-12-31 · Effective 2012-12-28 · 77 FR 76854

Document

Document number
2012-31221
Federal Register citation
77 FR 76854
CFR reference
17 CFR 275
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2012-12-31
Effective date
2012-12-28
Docket
Release No. IA-3522

Abstract

The Securities and Exchange Commission is amending rule 206(3)-3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The amendment extends the date on which rule 206(3)- 3T will sunset from December 31, 2012 to December 31, 2014.

Source

Authoritative
Federal Register document
Machine
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