SEC Interpretive Releases Archive: 2019
The Commission occasionally provides guidance on topics of general interest to the business and investment communities by issuing "interpretive" releases, in which we publish our views and interpret the federal securities laws and SEC regulations. Below are brief descriptions of and links to recent "interpretive" releases.
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| Release No. | Date | Details | 34-86721 | Aug. 21, 2019 | Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Effective Date: September 10, 2019 Federal Register version (84 FR 47416) |
|---|---|---|
| IA-5249 | Jun. 5, 2019 | Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser (Conformed to Federal Register version)
Federal Register version (84 FR 33681) |
| IA-5248 | Jun. 5, 2019 | Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Conformed to Federal Register version)
File No.: S7-07-18 Federal Register version (84 FR 33669) |