Regulacje i polityka gospodarcza · 19/11/1997

Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940

The Securities and Exchange Commission is seeking public comment on proposed rule amendments to exempt multi-state investment advisers from registration requirements and revise the definition of investment adviser representatives, aiming to refine rules related to the Investment Advisers Supervision Coordination Act.