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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.
70 FR 2711
70 FR 54629
64 FR 61226
69 FR 51620
70 FR 2716
Last Reviewed or Updated: April 7, 2023
April 15, 2005, except that 17 CFR 275.202(a)(11)-1(a)(1)(ii) is effective May 23, 2005
70 FR 20423
