Regulatory Alerts2022-06-22 | 2022-13307Added · Updated
Request for Comment on Certain Information Providers Acting as Investment Advisers
The Securities and Exchange Commission is seeking public comment on whether index providers, model portfolio providers, and pricing services meet the definition of investment adviser under the Investment Advisers Act of 1940. The agency is evaluating the regulatory implications of this status, including potential registration requirements and conflicts of interest arising from the discretionary nature of these information services. Comments are requested to determine if specific regulatory action is necessary to address investor protection and market risk concerns.
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