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Regulação de mercados · 20/08/20041 min de leitura
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Tradução automática local · Idioma original da fonte
Resumo
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.
Idioma original da fonte: Federal Register — SECAbrir o comunicado original →