학술논문
Broadening the Broker-Dealer Exception to the Advisers Act--Thoughts on the SEC Proposal.
Document Type
Article
Author
Source
Subject
*Investment advisors
Legislative bills
Language
ISSN
1075-4512
Abstract
Assesses the provisions of the Investment Adviser Act of the U.S. Securities and Exchange Commission. Types of advisory services; Definition of investment adviser; Expansion of the scope and coverage of the broker-dealer exceptions.