# Temporary Rule Regarding Principal Trades With Certain Advisory Clients
> **US Securities and Exchange Commission** · Final rule. · Published 2014-12-23 · Effective 2014-12-30 · 79 FR 76880
## Document
- **Document number:** 2014-29975
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 79 FR 76880
- **CFR reference:** 17 CFR 275
- **Publication date:** 2014-12-23
- **Effective date:** 2014-12-30
- **Docket:** Release No. IA-3984
## 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 that 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, 2014 to December 31, 2016.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2014/12/23/2014-29975/temporary-rule-regarding-principal-trades-with-certain-advisory-clients)
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