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Wednesday, December 22, 2004

SEC Backs Temporary Advisor Exemption for Brokers

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The SEC voted 5-0 today to allow stock brokers to act as investment advisors without investment advisor registration; at least until April 15, 2005.

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The Securities Law Blog is edited by nationally known securities attorney Mark Astarita. Mark is also the editor of our main site, SECLaw.com - The Securities Law Home Page. He is a partner in the securities law firm of Sallah Astarita & Cox, and his personal lawyer website is at Securities Lawyer.

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