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To: SirRealist who wrote (568)	5/6/2000 2:56:00 AM
From: Dale Baker	Read Replies (1) \| Respond to of 1766

Investment Adviser (11) "Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities; but does not include (A) a bank, or any bank holding company as defined in the Bank Holding Company Act of 1956 which is not an investment company; (B) any lawyer, accountant, engineer, or teacher whose performance of such services is solely incidental to the practice of his profession; (C) any broker or dealer whose performance of such services is solely incidental to the conduct of his business as a broker or dealer and who receives no special compensation therefor; (D) the publisher of any bona fide newspaper, news magazine or business or financial publication of general and regular circulation; (E) any person whose advice, analyses, or reports relate to no securities other than securities which are direct obligations of or obligations guaranteed as to principal or interest by the United States, or securities issued or guaranteed by corporations in which the United States has a direct or indirect interest which shall have been designated by the Secretary of the Treasury, pursuant to section 3(a)(12) of the Securities Exchange Act of 1934, as exempted securities for the purposes of that Act; or (F) such other persons not within the intent of this paragraph, as the Commission may designate by rules and regulations or order. sec.gov

To: SirRealist who wrote (568)	5/7/2000 9:43:00 PM
From: Sr K	Read Replies (1) \| Respond to of 1766

SEC Releases Agenda for Investment Advisers Roundtable (May 1, 2000) sec.gov ... II.Investment Advisers In Today?s Competitive Markets / Modernization of Adviser Regulation A. Investment Advisers and Broker Dealers ? Are the Lines Blurring? (Proposed rule 202(a)(11)-1: Deeming certain broker-dealers not to be investment advisers) B. Should the other statutory exceptions from the definition of "investment adviser" be revisited? ... VI. Technology and Investment Adviser Regulation A. Implications of Internet/Technology for Advisers B. Revisions to Form ADV