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Exemption for Certain Investment Advisers Operating Through the Internet

SEC · final-rule · Published 2002-12-18 · Effective 2003-01-20 · 67 FR 77620

Document

Document number
02-31843
Federal Register citation
67 FR 77620
CFR reference
17 CFR 275
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2002-12-18
Effective date
2003-01-20
Docket
Release No. IA-2091

Abstract

The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt certain investment advisers that provide advisory services through the Internet from the prohibition on Commission registration. The rule amendments permit these advisers, whose businesses are not connected to any particular state, to register with the Commission instead of with state securities authorities.

Source

Authoritative
Federal Register document
Machine
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