Technical Amendments Under the Investment Advisers Act of 1940
SEC · other · Published 1999-01-15 · Effective 1999-01-15 · 64 FR 2566
Document
Document number
99-920
Federal Register citation
64 FR 2566
CFR reference
17 CFR 275
Type
Rule
Action
Corrections to final regulations.
Category
other
Agency
US Securities and Exchange Commission
Publication date
1999-01-15
Effective date
1999-01-15
Docket
Release No. IA-1780
Abstract
The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 (``Advisers Act''). Rule 204-1 was published Thursday, May 22, 1997 (62 FR 28112), under the Investment Advisers Act of 1940 (``Advisers Act''). Rule 204- 1 relates to the investment adviser application for registration with the Commission. Rule 202(a)(1)-1 was published on Wednesday, September 17, 1986 (51 FR 32906), under the Advisers Act. Rule 202(a)(1)-1 relates to certain transactions not deemed ``assignments'' for purposes of section 205 of the Advisers Act.