Securities and Exchange Commission 2005 – Federal Register Recent Federal Regulation Documents
Results 501 - 550 of 1,775
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
The Securities and Exchange Commission is extending the compliance date for the rule that identifies circumstances under which a broker-dealer's advice is not ``solely incidental to'' its brokerage business or to brokerage services provided to certain accounts and thus subjects the broker-dealer to the Investment Advisers Act of 1940.
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