U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC Open Meeting Agenda
Wednesday, December 22, 2004

Agenda as of December 21, 2004. Note that Open Meeting agendas are subject to last-minute changes.

Item 1:

Certain Broker-Dealers Deemed Not To Be Investment Advisers


Division of Investment Management


Paul F. Roye, Robert E. Plaze, Jamey Basham, Nancy M. Morris, and Robert L. Tuleya

1. The Commission will consider a staff recommendation regarding the application of the Investment Advisers Act of 1940 to certain broker-dealers. (See Proposing Release, Certain Broker-Dealers Deemed Not to be Investment Advisers, Investment Advisers Act Release No. 1845 (Nov. 4, 1999) [64 FR 61226 (Nov. 10, 1999)], and Release Reopening Comment Period, Investment Advisers Act Release No. 2278 (Aug. 19, 2004) [69 FR 51620 (Aug. 20, 2004)]).

For further information, please contact Robert Tuleya, Senior Counsel, Division of Investment Management, at (202) 942-0719.



Modified: 12/21/2004