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Régulation des marchés · 20/08/20041 min de lecture
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Traduction automatique locale · Langue originale de la source
Résumé
The Securities and Exchange Commission is reopening the period for public comment on a rule proposal under the Investment Advisers Act of 1940 that would address the application of the Advisers Act to brokers offering certain full service brokerage services (including advice) for an asset-based fee instead of traditional commissions, mark-ups, and mark-downs, and that would address electronic trading for reduced brokerage commissions.
Langue originale de la source: Federal Register — SECOuvrir le communiqué original →