# Temporary Rule Regarding Principal Trades With Certain Advisory Clients
> **US Securities and Exchange Commission** · Final rule; correction. · Published 2010-01-06 · Effective 2009-12-31 · 75 FR 742
## Document
- **Document number:** E9-31420
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 75 FR 742
- **CFR reference:** 17 CFR 275
- **Publication date:** 2010-01-06
- **Effective date:** 2009-12-31
- **Docket:** Release No. IA-2965A
## Abstract

On December 30, 2009, the Securities and Exchange Commission published a Federal Register document 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 was the expiration date in paragraph (d) of the section. Rule 206(3)-3T will sunset on December 31, 2010. This document makes a correction to that document.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2010/01/06/E9-31420/temporary-rule-regarding-principal-trades-with-certain-advisory-clients)
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