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

11/14/2019
Federal Register Notices

[PDF-1.61 MB]

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Details:

Publisher's site:

https://www.fdic.gov/|FDIC.gov
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:

https://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-22695.pdf
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:

[+]

urn:sha256:32d5c99b22516f0b2aac167cfc9164241d93220b0aea1a4e0041c9821477025f
Download URL:

https://archive.fdic.gov/view/fdic/8899/fdic_8899_DS1.pdf
File Type:

No Additional Files

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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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