EFTA Document EFTA01451909

SOF III - 1081 Southern Financial LLC Volcker Rule. Section 619 of the Dodd-Frank Act established a new section 13 of the BHC Act, commonly referred to as the "Volcker Rule". Among other things, the Volcker Rule generally prohibits "banking entities" from sponsoring, or investing in, "covered funds," except to the extent permitted pursuant to an available exemption. In addition, a "banking entity" and its affiliates are prohibited from entering into certain transactions with (such as exten