federal_register: 2010-33077
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
This data as json
| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2010-33077 | Principal Trades with Certain Advisory Clients | Rule | 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 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. The amendment extends the date on which rule 206(3)- 3T will sunset from December 31, 2010 to December 31, 2012. | 2010-12-30 | 2010 | 12 | https://www.federalregister.gov/documents/2010/12/30/2010-33077/principal-trades-with-certain-advisory-clients | https://www.govinfo.gov/content/pkg/FR-2010-12-30/pdf/2010-33077.pdf | Securities and Exchange Commission | 466 | 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 who are registered with the Commission as broker-dealers to meet... |