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1、DEPARTMENTOFTHETREASURYOfficeoftheComptrolleroftheCurrency12CFRPart44DocketNo.OCC-2011-0014RIN:1557-AD44BOARDOFGOVERNORSOFTHEFEDERALRESERVESYSTEM12CFRPart248DocketNo.R-1432RIN:7100AD82FEDERALDEPOSITINSURANCECORPORATION12CFRPart351RIN:3064-AD85SECURITIESANDEXCHANGECOMMISSION17CFRPart255Re
2、leaseNo.BHCA-1;FileNo.S7-41-11RIN:3235-AL07PROHIBITIONSANDRESTRICTIONSONPROPRIETARYTRADINGANDCERTAININTERESTSIN,ANDRELATIONSHIPSWITH,HEDGEFUNDSANDPRIVATEEQUITYFUNDSAGENCIES:OfficeoftheComptrolleroftheCurrency,Treasury(“OCC”);BoardofGovernorsoftheFederalReserveSystem(“Board”);FederalDepos
3、itInsuranceCorporation(“FDIC”);andSecuritiesandExchangeCommission(“SEC”).ACTION:FinalRule.SUMMARY:TheOCC,Board,FDIC,andSEC(individually,an“Agency,”andcollectively,“theAgencies”)areadoptingarulethatwouldimplementsection13oftheBHCAct,whichwasaddedbysection619oftheDodd-FrankWallStreetReform
4、andConsumerProtectionAct(“Dodd-FrankAct”).Section13containscertainprohibitionsandrestrictionsontheabilityofabankingentityandnonbankfinancialcompanysupervisedbytheBoardtoengageinproprietarytradingandhavecertaininterestsin,orrelationshipswith,ahedgefundorprivateequityfund.DATES:Effectiveda
5、te:ThefinalruleiseffectiveApril1,2014.FORFURTHERINFORMATIONCONTACT:OCC:UrsulaPfeil,Counsel,orDeborahKatz,AssistantDirector,LegislativeandRegulatoryActivitiesDivision,(202)649-5490;TedDowd,AssistantDirector,SecuritiesandCorporatePracticesDivision,(202)649-5510;KurtWilhelm,DirectorforFinan
6、cialMarketsGroup,(202)649-6360;StephanieBoccio,TechnicalExpertforCreditandMarketRiskGroup,(202)649-6360,OfficeoftheComptrolleroftheCurrency,250EStreetSW.,Washington,DC20219.iBoard:ChristopherM.Paridon,Counsel,(202)452-3274,orAnnaM.Harrington,SeniorAttorney,LegalDivision,(202)452-6406;Mar
7、kE.VanDerWeide,DeputyDirector,DivisionofBankSupervisionandRegulation,(202)452-2263;orSeanD.Campbell,DeputyAssociateDirector,DivisionofResearchandStatistics,(202)452-3760,BoardofGovernorsoftheFederalReserveSystem,20thandCStreets,NW.,Washington,DC20551.FDIC:BobbyR.Bean,Asso
