federal_register: E9-30877
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| E9-30877 | Temporary Rule Regarding Principal Trades With Certain Advisory Clients | Rule | The Securities and Exchange Commission is 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 is the expiration date. Rule 206(3)-3T will sunset on December 31, 2010. | 2009-12-30 | 2009 | 12 | https://www.federalregister.gov/documents/2009/12/30/E9-30877/temporary-rule-regarding-principal-trades-with-certain-advisory-clients | https://www.govinfo.gov/content/pkg/FR-2009-12-30/pdf/E9-30877.pdf | Securities and Exchange Commission | 466 | The Securities and Exchange Commission is 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... |