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Research (13)
Your search for Research returned 13 results.
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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...


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