Content Areas

Search Terms


 See More >

Date Range



Research (13)
Your search for Research returned 13 results.
Sorted by Date

12/03/2018 | Content area: Broker-Dealer
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating i...
1/04/2018 | Content area: Broker-Dealer
Displaying inaccurate research ratings for over 1,800 equity securities during a nearly five-year period has led to a $5.5 million fine for Citigroup ...
10/26/2017 | Content area: Investment Adviser
SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s com...
10/26/2017 | Content area: Investment Adviser
    Investment Company Act of 1940 and Rule 17d-1 thereunder, and Section 206 of the Investment Advisers Act of 1940 Investment C...
10/26/2017 | Content area: Investment Adviser | Broker-Dealer
    Investment Advisers Act of 1940 - Section 202(a)(11) Securities Industry and Financial Markets Association October 26...
8/24/2017 | Content area: Private Fund
Relying on your firm’s employees to self-evaluate and self-report the potential receipt of material non-public information and failing to adopt P&Ps e...
10/13/2016 | Content area: Broker-Dealer
Morning calls, trading day squawks, idea dinners, and non-deal road shows all afforded Deutsche Bank Securities, Inc.’s equity research analysts ample...
5/12/2016 | Content area: Broker-Dealer
Stephens Inc. will cease distributing firm-wide internal “flash” e-mails sent by its research analysts to trading personnel conveying information abou...
3/10/2016 | Content area: Broker-Dealer
For the first time since last summer, FINRA released March 4 seven new frequently asked questions tied to the SRO’s research rules. In this go round, ...
12/11/2014 | Content area: Broker-Dealer
FINRA has sent a strong message that it’s committed to enforcing its research analyst conflict of interest rules. The SRO has fined 10 firms for cross...
11/07/2011 | Content area: Investment Adviser
Advisory firms that heeded the lessons of Lehman Brothers (IA Watch, Nov. 10, 2008) by not relying on one prime broker could be feeling little or no s...
7/24/2006 | Content area: Investment Adviser
This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.
12/27/2001 | Content area: Investment Adviser
SEC Interpretation: Commission Guidance on the Scope of Section 28(e) of the Exchange Act SECURITIES AND EXCHANGE COMMISSION...

Did you find what you were looking for?

Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.