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SEC RIN: 3235-AH78 Publication ID: Fall 2002 
Title: Certain Broker-Dealers Not Deemed To Be Investment Advisers 
Abstract: The Commission has proposed new Rule 202(a)(11)-1, which 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: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: 17 CFR 275.202(a)(11)-1   
Legal Authority: 15 USC 80b-2(a)(11)(F)   
Legal Deadline:  None
Action Date FR Cite
NPRM  11/10/1999  64 FR 61226   
NPRM Comment Period End  01/14/2000    
Final Action  11/00/2002    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
Agency Contact:
Jennifer L. Sawin
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6787