federal_register: E9-31420

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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
E9-31420 Temporary Rule Regarding Principal Trades With Certain Advisory Clients Rule 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. 2010-01-06 2010 1 https://www.federalregister.gov/documents/2010/01/06/E9-31420/temporary-rule-regarding-principal-trades-with-certain-advisory-clients https://www.govinfo.gov/content/pkg/FR-2010-01-06/pdf/E9-31420.pdf Securities and Exchange Commission 466 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... 3235-AJ96

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