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

Filetype[PDF-1.61 MB]


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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 62055)

    Table 2: Broker-Dealer Counts, Assets, and Holdings by Consolidated Trading Assets and Liabilities of the Banking Entity (Pg 62055)

    Table 3: SEC-Registered Investment Advisers Advising Private Funds, by Fund Type (Pg 62056)

    Table 4: The Number and Gross Assets of Private Funds Advised by SEC-Registered Investment Advisers (Pg 62056)

    Table 5: Volume of Metrics Records Submitted to the SEC by Trading Assets and Liabilities (Pg 62057)

    Table 6: Trading Desks Reporting Metrics to the SEC by Trading Assets and Liabilities (Pg 62057)

    Table 7: Time Delays and Resubmissions of Metrics Records Submitted to the SEC (Pg 62057-62058)

    Table 8: Broker-Dealer Assets and Holdings, by Gross Trading Assets and Liabilities Threshold of Affiliated Banking Entities (Pg 62061)

    Table 9: Market Risk Capital Rule Application (Pg 62063)

    Table 10: Broker-Dealer Assets and Holdings, by Clearing Status (Pg 62066)

  • Dataset Download URL:
  • Format:
    PDF
  • Release Date:
    11/14/2019
  • 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
  • Source:
    FDIC Website/GovInfo
  • Effective Date:
    01/01/2020
  • Federal Register Citation Number:
    84 FR 61974
  • CFR Number:
    12 CFR Part 351
  • RIN Indentifier:
    RIN 1557–AE27;RIN 7100–AF 06;RIN 3064–AE67;RIN 3038–AE72;RIN 3235–AM10;
  • Other Agency Docket IDs:
    Docket No. OCC–2018–0010;Docket No. R–1608;Release no. BHCA–7; File no. S7–14–18;
  • Main Document Checksum:
  • Download URL:
  • File Type:

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