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SEC Open Meeting Agenda
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Item 1: |
Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Office: |
Division of Investment Management |
Staff: |
Paul F. Roye, Robert E. Plaze, Jamey Basham, Nancy M. Morris, and Robert L. Tuleya |
1. The Commission will consider a staff recommendation regarding the application of the Investment Advisers Act of 1940 to certain broker-dealers. (See Proposing Release, Certain Broker-Dealers Deemed Not to be Investment Advisers, Investment Advisers Act Release No. 1845 (Nov. 4, 1999) [64 FR 61226 (Nov. 10, 1999)], and Release Reopening Comment Period, Investment Advisers Act Release No. 2278 (Aug. 19, 2004) [69 FR 51620 (Aug. 20, 2004)]).
For further information, please contact Robert Tuleya, Senior Counsel, Division of Investment Management, at (202) 942-0719.
http://www.sec.gov/news/openmeetings/agenda122204.htm
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