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Content | ix RULES (continued)Page Advisers Act Rule 202(a)(11)-1(a)(1), 17 C.F.R. 275.202(a)(11)-1(a)(1).11, 21, 27, 29, 36, 38, 48 Advisers Act Rule 202(a)(11)-1(a)(2), 17 C.F.R. 275.202(a)(11)-1(a)(2) .12, 38-39, 48 Advisers Act Rule 202(a)(11)-1(b), 17 C.F.R. 275.202(a)(11)-1(b).12, 17, 37, 48, 57 Advisers Act Rule 202(a)(11)-1(b)(1), 17 C.F.R. 275.202(a)(11)-1(b)(1).12, 57 Advisers Act Rule 202(a)(11)-1(b)(2), 17 C.F.R. 275.202(a)(11)-1(b)(2).12 Advisers Act Rule 202(a)(11)-1(b)(3), 17 C.F.R. 275.202(a)(11)-1(b)(3).13 Advisers Act Rule 202(a)(11)-1(c), 17 C.F.R. 275.202(a)(11)-1(c).13 Advisers Act Rule 206(3)-2, 17 C.F.R. 275.206(3)-2.43 Exchange Act Rule 10b-10, 17 C.F.R. 240.10b-10. 44 OTHER AUTHORITIES Commission and Staff Releases, Reports, Speeches and Letters Applicability of the Investment Advisers Act to Certain Brokers and Dealers, Release No. IA-640 (October 5, 1978) .7 Certain Broker-Dealers Deemed Not To Be Investment Advisers, Release Nos. 34-42099; IA-1845 (November 4, 1999), published at 64 FR 61226 (November 10, 1999).6 Certain Broker-Dealers Deemed Not To Be Investment Advisers, Release Nos. 34-50213; IA-2278 (August 18, 2004), published at 69 FR 51620 (August 20, 2004).9 Certain Broker-Dealers Deemed Not To Be Investment Advisers, Release Nos. 34-50979; IA-2339 (January 6, 2005), published at 70 FR 2712 (January 14, 2005).10 |
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