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Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date

SEC · final-rule · Published 2005-09-16 · Effective 2005-04-12 · 70 FR 54629

Document

Document number: 05-18384
Federal Register citation: 70 FR 54629
CFR reference: 17 CFR 275
Type: Rule
Action: Final rule; extension of compliance date.
Category: final-rule
Agency: US Securities and Exchange Commission
Publication date: 2005-09-16
Effective date: 2005-04-12
Docket: Release Nos. 34-52407

Abstract

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.

Source

Authoritative: Federal Register document
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