Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
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Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

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Details:

  • Publisher's site:
  • Corporate Authors:
    Federal Deposit Insurance Corporation (FDIC)
  • Content Notes:
    Table 1: Broker-Dealer Count, Assets, and Holdings by Affiliation (Pg 46474)

    Table 2: SEC-Registered Investment Advisers Advising Private Funds by Fund Type (Pg 46475)

    Table 3: The Number and Gross Assets of Private Funds Advised by SEC-Registered Investment Advisers (Pg 46475)

  • Dataset Download URL:
  • Format:
    PDF
  • Release Date:
    07/31/2020
  • Update Date:
    09/25/2020
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);Office of the Comptroller of the Currency (OCC);Board of Governors of the Federal Reserve System (The Fed);U.S. Commodity Futures Trading Commission (CFTC);U.S. Securities and Exchange Commission (SEC);U.S. Small Business Administration (SBA);Office of Management and Budget (OMB);
  • Law Involved:
    Bank Holding Company Act (BHC Act);Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act);Securities Exchange Act of 1934;Federal Reserve Act;Federal Deposit Insurance Act (FDI Act);Community Reinvestment Act (CRA);Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA);Paperwork Reduction Act of 1995 (PRA);Regulatory Flexibility Act (RFA);Gramm-Leach-Bliley Act;Riegle Community Development and Regulatory Improvement Act (RCDRIA);Investment Company Act of 1940;Tax Cuts and Jobs Act;Investment Advisers Act;Unfunded Mandates Reform Act of 1995 (UMRA);RBIC Advisers Relief Act of 2018;
  • Related Regulation:
    12 CFR Part 44;12 CFR Part 248;17 CFR Part 75;17 CFR Part 255;12 CFR Part 223;
  • Source:
    FDIC Website/GovInfo
  • Effective Date:
    10/01/2020
  • Federal Register Citation Number:
    85 FR 46422
  • CFR Number:
    12 CFR Part 351
  • RIN Indentifier:
    RIN 3064–AF17
  • Other Agency Docket IDs:
    Docket No. OCC–2020–0002;Docket No. R–1694;Release No. BHCA–9; File No. S7–02–20;
  • Main Document Checksum:
  • Download URL:
  • File Type:

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