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2010-09-24
article
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Proposed Rules
D09002ee1bdfba760
D09002ee1bdfba7e7
United States
Securities and Exchange Commission
originator
org
United States Government Agency or Subagency
Broker-dealers have begun offering their customers full service brokerage (including advice) for an asset-based fee instead of traditional commissions, mark-ups, and mark-downs. Some full service broker-dealers have also begun offering electronic trading for reduced brokerage commissions. The Commission is publishing for comment a new rule under the Investment Advisers Act of 1940 (Advisers Act) that would address the application of the Advisers Act to brokers offering these programs. The new rule would keep broker-dealers from being subject to the Advisers Act solely as a result of re-pricing their services.
64 FR 61226
https://www.govinfo.gov/app/details/FR-1999-11-10/99-29395
99-29395
fr10no99-18
RIN 3235-AH78
8010-01-P
Release Nos. 34-42099
IA-1845
File No. S7-25-99
https://www.govinfo.gov/app/details/FR-1999-11-10/99-29395
https://www.govinfo.gov/content/pkg/FR-1999-11-10/html/99-29395.htm
https://www.govinfo.gov/content/pkg/FR-1999-11-10/pdf/99-29395.pdf
7 p.
61226
61232
64 FR 61226
Code of Federal Regulations
Title 17 Part 275
17 CFR Part 275
Code of Federal Regulations
Title 17 Part 279
17 CFR Part 279
Regulation Identification Number 3235-AH78
RIN 3235-AH78
Certain Broker-Dealers Deemed Not To Be Investment Advisers; Federal Register Vol. 64, Issue
PRORULE
99-29395
SECURITIES AND EXCHANGE COMMISSION
2000-01-14
Release Nos. 34-42099
IA-1845
File No. S7-25-99
8010-01-P
99-29395
Proposed rule.
Broker-dealers have begun offering their customers full service brokerage (including advice) for an asset-based fee instead of traditional commissions, mark-ups, and mark-downs. Some full service broker-dealers have also begun offering electronic trading for reduced brokerage commissions. The Commission is publishing for comment a new rule under the Investment Advisers Act of 1940 (Advisers Act) that would address the application of the Advisers Act to brokers offering these programs. The new rule would keep broker-dealers from being subject to the Advisers Act solely as a result of re-pricing their services.
Comments must be received on or before January 14, 2000.
Cynthia M. Fornelli, Attorney Fellow, Division of Investment Management, (202) 942-0720, or J. David Fielder, Senior Counsel, Task Force on Investment Adviser Regulation, Division of Investment Management, (202) 942-0530, fielderd@sec.gov, at Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549-0506.
Federal Register
Vol. 64, no. 217
Office of the Federal Register, National Archives and Records Administration
1999-11-10
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daily
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284 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
KF70.A2
https://www.govinfo.gov/app/details/FR-1999-11-10
P0b002ee180a590c5
0097-6326
0042-1219
0364-1406
769-004-00000-9
000582072
f:fr10no99
https://www.govinfo.gov/app/details/FR-1999-11-10
https://www.govinfo.gov/content/pkg/FR-1999-11-10/pdf/FR-1999-11-10.pdf
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61471
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2010-09-24
2023-05-05
FR-1999-11-10
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FR-1999-11-10
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