federal_register: 2014-29975
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014-29975 | 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 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 extends the date on which rule 206(3)- 3T will sunset from December 31, 2014 to December 31, 2016. | 2014-12-23 | 2014 | 12 | https://www.federalregister.gov/documents/2014/12/23/2014-29975/temporary-rule-regarding-principal-trades-with-certain-advisory-clients | https://www.govinfo.gov/content/pkg/FR-2014-12-23/pdf/2014-29975.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 that are registered with the Commission as broker-dealers to... |