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Regulatory Release

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Details

Rule Type

Proposed

Release Number

34-42099

SEC Issue Date

Nov. 4, 1999 | 1:23 pm ET

Federal Register Publish Date

Nov. 10, 1999 | 6:13 pm ET

Document Citation

64 FR 61226

RIN

3235-AH78

Resources

Rel. No. 34-42099

Federal Register Version

Last Reviewed or Updated: Dec. 23, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Certain Broker-Dealers Deemed Not To Be Investment Advisers

Details

Resources

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Certain Broker-Dealers Deemed Not To Be Investment Advisers

Details

Resources