Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Advanced Search
Select up to three search categories and corresponding keywords using the fields to the right. Refer to the Help section for more detailed instructions.

Search our Collections & Repository

For very narrow results

When looking for a specific result

Best used for discovery & interchangable words

Recommended to be used in conjunction with other fields

Dates

to

Document Data
Library
People
Clear All
Clear All

For additional assistance using the Custom Query please check out our Help Page

i

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

Filetype[PDF-733.74 KB]



Details:

  • Publisher's site:
  • Corporate Authors:
  • 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:
  • 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 0f 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:

Supporting Files

  • No Additional Files
More +

You May Also Like

Checkout today's featured content at archive.fdic.gov

Version 3.26.1