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SEC RIN: 3235-AJ97 Publication ID: Spring 2011 
Title: Interpretive Rule Under the Advisers Act Affecting Broker-Dealers 
Abstract: The Commission proposed Rule 202(a)(11)-1 under the Investment Advisers Act to reinstate three interpretive positions addressing when a broker-dealer provides services that also would, or would not, make it an investment adviser. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.202(a)(11)-1   
Legal Authority: 15 USC 80b-11(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/28/2007  72 FR 55126   
NPRM Comment Period End  11/02/2007    
Final Action  07/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2007/ia-2652.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Brian Johnson
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6740
Email: johnsonbm@sec.gov