federal_register: 2014-19421

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2014-19421 Temporary Rule Regarding Principal Trades With Certain Advisory Clients Proposed Rule The Securities and Exchange Commission is proposing to amend 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 would extend the date on which rule 206(3)-3T will sunset from December 31, 2014 to December 31, 2016. 2014-08-18 2014 8 https://www.federalregister.gov/documents/2014/08/18/2014-19421/temporary-rule-regarding-principal-trades-with-certain-advisory-clients https://www.govinfo.gov/content/pkg/FR-2014-08-18/pdf/2014-19421.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission is proposing to amend 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... 3235-AL56

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