Citations for: Certain Broker-Dealers Deemed Not To Be Investment Advisers
Explore citations and references
Citations
- 17 CFR 240.15
- 17 CFR 240.10
- 17 CFR 240.19
- 52 FR 38400
- 11 FR 10996
- 43 FR 19224
- 65 FR 57438
- 69 FR 51620
- 54 FR 30087
- 15 U.S.C. 80
- 15 U.S.C. 78
Entries Referencing This
-
70 FR 20424:
Certain Broker-Dealers Deemed Not To Be Investment Advisers (04/19/2005)
- Full Title:
- Certain Broker-Dealers Deemed Not To Be Investment Advisers
- Agency:
- Securities and Exchange Commission
- Date Entered:
- Tuesday, April 19, 2005
- Type:
- Rule
-
72 FR 55022:
Temporary Rule Regarding Principal Trades With Certain Advisory Clients (09/28/2007)
- Full Title:
- Temporary Rule Regarding Principal Trades With Certain Advisory Clients
- Agency:
- Securities and Exchange Commission
- Date Entered:
- Friday, September 28, 2007
- Type:
- Rule
-
72 FR 55126:
Interpretive Rule Under the Advisers Act Affecting Broker-Dealers (09/28/2007)
- Full Title:
- Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
- Agency:
- Securities and Exchange Commission
- Date Entered:
- Friday, September 28, 2007
- Type:
- Proposed Rule
