# Temporary Rule Regarding Principal Trades With Certain Advisory Clients
> **US Securities and Exchange Commission** · Final rule. · Published 2009-12-30 · Effective 2009-12-30 · 74 FR 69009
## Document
- **Document number:** E9-30877
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 74 FR 69009
- **CFR reference:** 17 CFR 275
- **Publication date:** 2009-12-30
- **Effective date:** 2009-12-30
- **Docket:** Release No. IA-2965
## Abstract

The Securities and Exchange Commission is adopting as final Rule 206(3)-3T under the Investment Advisers Act of 1940, the interim final 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. As adopted, the only change to the rule is the expiration date. Rule 206(3)-3T will sunset on December 31, 2010.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2009/12/30/E9-30877/temporary-rule-regarding-principal-trades-with-certain-advisory-clients)
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