Transcription of SECURITIES AND EXCHANGE COMMISSION - …
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SECURITIES AND EXCHANGE COMMISSION - …
SECURITIES AND EXCHANGE COMMISSION [R~l. No. IA-I092] Applicability of the Investment advisers act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services. ACTION: Statement of staff interpretive position. SUMMARY: The COMMISSION is publishing the views of the staff of the Division of Investment Management on the applicability of the Investment advisers act of 1940 to financial planners and other persons who provide invest~ent advice as a component of other financial services. The views expressed in this statement were developed jointly;by Division staff and the North American SECURITIES Administrators Association, Inc.
SECURITIES AND EXCHANGE COMMISSION [R~l. No. IA-I092] Applicability of the Investment Advisers Act to Financial Planners, Pension . Consultants, and Other Persons Who Provide Investment Advisory Services as a
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