{"abstract":"The OCC, Board, FDIC, and SEC (individually, an \"Agency,\" and collectively, \"the Agencies\") are adopting a rule that would implement section 13 of the BHC Act, which was added by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (\"Dodd- Frank Act\"). Section 13 contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.","action":"Final rule.","agencies":[{"raw_name":"DEPARTMENT OF THE TREASURY","name":"Treasury Department","id":497,"url":"https://www.federalregister.gov/agencies/treasury-department","json_url":"https://www.federalregister.gov/api/v1/agencies/497","parent_id":null,"slug":"treasury-department"},{"raw_name":"Office of the Comptroller of the Currency","name":"Comptroller of the Currency","id":80,"url":"https://www.federalregister.gov/agencies/comptroller-of-the-currency","json_url":"https://www.federalregister.gov/api/v1/agencies/80","parent_id":497,"slug":"comptroller-of-the-currency"},{"raw_name":"BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM","name":"Federal Reserve System","id":188,"url":"https://www.federalregister.gov/agencies/federal-reserve-system","json_url":"https://www.federalregister.gov/api/v1/agencies/188","parent_id":null,"slug":"federal-reserve-system"},{"raw_name":"FEDERAL DEPOSIT INSURANCE CORPORATION","name":"Federal Deposit Insurance Corporation","id":164,"url":"https://www.federalregister.gov/agencies/federal-deposit-insurance-corporation","json_url":"https://www.federalregister.gov/api/v1/agencies/164","parent_id":null,"slug":"federal-deposit-insurance-corporation"},{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange 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S7-41-11"],"dockets":[],"document_number":"2013-31511","effective_on":"2014-04-01","end_page":5806,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2014/01/31/2013-31511.xml","html_url":"https://www.federalregister.gov/documents/2014/01/31/2013-31511/prohibitions-and-restrictions-on-proprietary-trading-and-certain-interests-in-and-relationships-with","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2013-31511?publication_date=2014-01-31","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2014-01-31/2013-31511/mods.xml","not_received_for_publication":null,"page_length":271,"page_views":{"count":16450,"last_updated":"2026-07-26 10:15:03 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Nonsignificant"},"3064-AD85":{"issue":"201310","html_url":"https://www.federalregister.gov/regulations/3064-AD85/prohibitions-and-restrictions-on-proprietary-trading-and-certain-interests-in-and-relationships-with","title":"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds ","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=201310&RIN=3064-AD85&operation=OPERATION_EXPORT_XML","priority_category":"Substantive, Nonsignificant"},"1557-AD44":{"issue":"201310","html_url":"https://www.federalregister.gov/regulations/1557-AD44/prohibitions-and-restrictions-on-proprietary-trading-and-certain-interests-in-and-relationships-with","title":"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity 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08-07-2012","document_id":"OCC-2011-0014-3249"},{"title":"Duplicate","document_id":"OCC-2011-0014-3248"},{"title":"Duplicate","document_id":"OCC-2011-0014-3247"},{"title":"Duplicate","document_id":"OCC-2011-0014-3246"},{"title":"Duplicate","document_id":"OCC-2011-0014-3245"},{"title":"Summary of Meeting with Representatives of the American Securitization Forum","document_id":"OCC-2011-0014-3244"}],"comments_url":"https://www.regulations.gov/docketBrowser?rpp=50&so=DESC&sb=postedDate&po=0&dct=PS&D=OCC-2011-0014","supporting_documents_count":45,"docket_id":"OCC-2011-0014","regulation_id_number":null,"title":"Volcker Rule - Prohibition on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds","checked_regulationsdotgov_at":"2014-02-20T08:05:15Z"},"regulations_dot_gov_url":null,"significant":true,"signing_date":null,"start_page":5536,"subtype":null,"title":"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds","toc_doc":"Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds","toc_subject":null,"topics":["Administrative practice and procedure","Banks, banking","Brokers","Credit","Foreign banking","Government securities","Holding companies","Insurance","Insurance companies","Investments","Penalties","Reporting and recordkeeping requirements","Securities","Trusts and trustees"],"type":"Rule","volume":79}