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市场监管 · 2004/8/201 分钟阅读
Certain Broker-Dealers Deemed Not To Be Investment Advisers
本地自动翻译 · 来源原始语言
摘要
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.
来源原始语言: Federal Register — SEC打开原始公告 →