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Start Preamble
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”.
Start Further InfoFOR 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.
End Further Info End Preamble Start Supplemental InformationSUPPLEMENTARY 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.”
Start SignatureStart Printed Page 743End Signature End Supplemental InformationBy the Commission.
Dated: December 31, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-31420 Filed 12-31-09; 4:15 pm]
BILLING CODE 8011-01-P
Document Information
- Comments Received:
- 0 Comments
- Effective Date:
- 12/31/2009
- Published:
- 01/06/2010
- Department:
- Securities and Exchange Commission
- Entry Type:
- Rule
- Action:
- Final rule; correction.
- Document Number:
- E9-31420
- Dates:
- Effective December 31, 2009. The DATES section for FR Doc. 2009- 30877, published on December 30, 2009 (74 FR 69009) is corrected to
- Pages:
- 742-743 (2 pages)
- Docket Numbers:
- Release No. IA-2965A, File No. S7-23-07
- RINs:
- 3235-AJ96: Temporary Rule Regarding Principal Trades With Certain Advisory Clients
- RIN Links:
- https://www.federalregister.gov/regulations/3235-AJ96/temporary-rule-regarding-principal-trades-with-certain-advisory-clients
- PDF File:
- e9-31420.pdf
- CFR: (1)
- 17 CFR 275