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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 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. The amendment extends the date on which rule 206(3)- 3T will sunset from December 31, 2010 to December 31, 2012.
72 FR 55022
75 FR 82236
75 FR 742
The amendments are effective December 31, 2009, and the expiration date for 17 CFR 275.206(3)-3T is now December 31, 2010. This is a technical correction only for purposes of Federal Register publication to provide clearly that final Rule 206(3)-3T remains in effect through December 31, 2010, consistent with Release No. IA-2965. See also: Final Rule Release No. IA-2965 ; Interim Final Temporary Rule Release No. IA-2653 ; Small Entity Compliance Guide ; Letter to SIFMA regarding expiration of rule 206(3)-3T Federal Register version
77 FR 76854
79 FR 76880
72 FR 55022
75 FR 75650
77 FR 62185
79 FR 48709
Last Reviewed or Updated: May 23, 2025
December 30, 2009
74 FR 69009
Public Comments