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Petition Rule

Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940

Public Comments

View Received Comments

Last Reviewed or Updated: April 3, 2012

Resources

Petition Rule: SEC Issued Version (pdf 8.92 MB)

Details

File Number

4-648

Rule Type

Petition

Release Number

4-648

AAER-3300

SEC Issue Date

April 3, 2012

Rules & Regulations

Enforcement & Litigation

Compliance

Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940

Public Comments

Resources

Details

More in this Section

Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940

Public Comments

Resources

Details