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Rule

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Document Details

Information about this document as published in the Federal Register.

Published Document

This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

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AGENCY:

Securities and Exchange Commission.

ACTION:

Final rule; correction.

SUMMARY:

On December 30, 2009, the Securities and Exchange Commission published a Federal Register document 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 was the expiration date in paragraph (d) of the section. Rule 206(3)-3T will sunset on December 31, 2010. This document makes a correction to that document.

DATES:

Effective December 31, 2009. The DATES section for FR Doc. 2009-30877, published on December 30, 2009 (74 FR 69009) is corrected to read “DATES: The amendments in this document are effective December 30, 2009 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2010”.

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FOR FURTHER INFORMATION CONTACT:

Sarah A. Bessin, Assistant Director, Daniel S. Kahl, Branch Chief, or Matthew N. Goldin, Senior Counsel, at (202) 551-6787 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5041.

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SUPPLEMENTARY INFORMATION:

The Securities and Exchange Commission is correcting the DATES section for FR Doc. 2009-30877, published on December 30, 2009 (74 FR 69009), to read “DATES: The amendments in this document are effective December 20, 2009 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2010.”

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By the Commission.

Dated: December 31, 2009.

Elizabeth M. Murphy,

Secretary.

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[FR Doc. E9-31420 Filed 12-31-09; 4:15 pm]

BILLING CODE 8011-01-P