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

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:sha-512:6ef50d6c81e43368d9477becc657aed73b29e3f9caf4085fe725032234606a32eccf352eb21edc34bd197eaeb0f8e581bef51b70868aea6509d60c64f3000ff9
• Download URL:
  https://archive.fdic.gov/view/fdic/8899/fdic_8899_DS1.pdf
• File Type:
  [PDF - 1.61 MB ]