Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
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This Document Has Been Replaced By: Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

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

Filetype[PDF-1.01 MB]


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Details:

  • Publisher's site:
  • Corporate Authors:
    Federal Deposit Insurance Corporation (FDIC)
  • Description:
    This Federal Register contains 72 comments and 19 staff disclosures. The comments can be found in the Supporting Files section.
  • Content Notes:
    Table 1: Summary of Proposed Changes to Compliance Program Requirements (Pg 33494)

    Table2: Table 1-Broker-Dealer Count, Assets and Holdings by Affiliation (Pg 33523)

    Table 3: Table 2-Broker-Dealer Count, Assets and Holdings by Consolidated Trading Assets and Liabilities of the Banking Entity (Pg 33524)

    Table 4: Table 3-SEC-Registered Investment Advisers Advising Private Funds by Fund Type (Pg 33524-33525)

    Table 5: Table 4-The Numbers and Gross Assets of Private Funds Advised by SEC-Registered Investment Advisers (Pg 33525)

    Table 6: Table 5-Broker-Dealer Assets and Holdings by Gross Trading Asset and Liability Threshold of Affiliated Banking Entities (Pg 33528)

    Table 7: Table 6-Broker-Dealer Assets and Holdings by Clearing Status (Pg 33531)

  • Dataset Download URL:
  • Format:
    PDF
  • Release Date:
    07/17/2018
  • Update Date:
    09/11/2018
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);Office of the Comptroller of the Currency (OCC);Board of Governors of the Federal Reserve System;Commodity Futures Trading Commission (CFTC);U.S. Securities and Exchange Commission (SEC);
  • Law Involved:
    Bank Holding Company Act;Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act);
  • Related Regulation:
    12 CFR Part 44;12 CFR Part 248;17 CFR Part 255;17 CFR Part 75;
  • Comment Period End Date:
    10/17/2018
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    83 FR 33432
  • CFR Number:
    12 CFR Part 351
  • RIN Indentifier:
    RIN 1557–AE27;RIN 7100–AF 06;RIN 3064–AE67;RIN 3235–AM10;RIN 3038–AE72;
  • Other Agency Docket IDs:
    Docket No. OCC–2018–0010;Docket No. R–1608;Release no. BHCA–3; File no. S7–14–18;
  • Main Document Checksum:
  • Download URL:
  • File Type:

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