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SEC | RIN: 3235-AH78 | Publication ID: Spring 2005 |
Title: Certain Broker-Dealers Deemed Not To Be Investment Advisers | |
Abstract: The Commission adopted a final rule, which excludes from the definition of investment adviser those broker-dealers offering certain nondiscretionary, full-service brokerage programs so long as the investment advice provided is solely incidental to the brokerage services and other conditions are satisfied. The final rule also addresses services that will be considered solely incidental to brokerage. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Completed Actions |
Major: No | Unfunded Mandates: No |
CFR Citation: 17 CFR 275.202(a)(11)-1 | |
Legal Authority: 15 USC 80b-2(a)(11)(F) 15 USC 80b-11(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: http://www.sec.gov/rules/proposed/34-50980.htm | |
Agency Contact: Jennifer L. Sawin Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6787 |