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Research (6)
Your search for Research returned 6 results.
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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...
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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