federal_register: 96-32799

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts
96-32799 Rules Implementing Amendments to the Investment Advisers Act of 1940 Proposed Rule The Commission is publishing for comment new rules and rule amendments under the Investment Advisers Act of 1940 (``Advisers Act'') to implement provisions of the Investment Advisers Supervision Coordination Act (``Coordination Act'') that reallocate regulatory responsibilities for investment advisers between the Commission and the states. The proposed rules would establish the process by which certain advisers would withdraw from Commission registration, exempt certain advisers from the prohibition on Commission registration, and define certain terms. The Commission also is proposing amendments to several rules under the Advisers Act to reflect the changes made by the Coordination Act. The proposed rules and rule amendments are intended to clarify provisions of the Coordination Act and assist investment advisers in ascertaining their regulatory status. 1996-12-27 1996 12 https://www.federalregister.gov/documents/1996/12/27/96-32799/rules-implementing-amendments-to-the-investment-advisers-act-of-1940 https://www.govinfo.gov/content/pkg/FR-1996-12-27/pdf/96-32799.pdf Securities and Exchange Commission 466 The Commission is publishing for comment new rules and rule amendments under the Investment Advisers Act of 1940 (``Advisers Act'') to implement provisions of the Investment Advisers Supervision Coordination Act (``Coordination Act'') that reallocate...

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