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Réglementation et droit · 16/09/20051 min de lecture
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
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Résumé
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.
Langue originale de la source: Federal Register — All DocumentsOuvrir le communiqué original →