federal_register: 2012-31221
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2012-31221 | Temporary Rule Regarding 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, 2012 to December 31, 2014. | 2012-12-31 | 2012 | 12 | https://www.federalregister.gov/documents/2012/12/31/2012-31221/temporary-rule-regarding-principal-trades-with-certain-advisory-clients | https://www.govinfo.gov/content/pkg/FR-2012-12-31/pdf/2012-31221.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... |