Official websites use .gov
A .gov website belongs to an official government organization in the United States.
Secure .gov websites use HTTPS
A lock
()
or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.
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.
74 FR 69009
72 FR 55022
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
Last Reviewed or Updated: Dec. 31, 2009
December 30, 2009
74 FR 69009
