An official website of the United States government
The .gov means it's official.
The site is secure.
View Rule
| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AH78 | Publication ID: Fall 1999 |
| Title: ●Certain Broker-Dealers Not Deemed To Be Investment Advisers | |
| Abstract: The Division is considering recommending to the Commission that it publish for comment a new rule under the Investment Advisers Act of 1940 that would exempt from the definition of investment adviser those broker-dealers offering nondiscretionary, full-service brokerage programs so long as the investment advice provided is solely incidental to the brokerage services and other conditions are satisfied. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: 17 CFR 275.202(a)(11)(F)-1 | |
| Legal Authority: 15 USC 80b-2(a)(11)(F) | |
|
Legal Deadline:
None |
||||||
Timetable:
|
| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
| Included in the Regulatory Plan: No | |
|
Agency Contact: James David Fielder Division of Investment Management Securities and Exchange Commission Phone:202 942-0530 |
|
|
Reginfo.gov
An official website of the U.S. General Services Administration and the Office of Management and Budget
Looking for U.S. government
information and services?
Visit USA.gov