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SEC | RIN: 3235-AJ97 | Publication ID: Fall 2010 |
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 |
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Timetable:
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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: Jennifer Porter Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6739 Email: porterj@sec.gov |