The EU’s MIFID II, Broker Research, and the SEC’s No-Action Letters
Full report
What this is
The Congressional Research Service is a nonpartisan policy and legal analysis arm of the Library of Congress. CRS reports are written for members of Congress and their staff, not the public — but they’re made available openly through Congress.gov.
- HR 2622118th Congress
To amend the Investment Advisers Act of 1940 to codify certain Securities and Exchange Commission no-action letters that exclude brokers and dealers compensated for certain research services from the definition of investment adviser, and for other purposes.
Jul 12, 2023 · Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.
- HR 2799118th Congress
Expanding Access to Capital Act of 2023
Mar 11, 2024 · Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.