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Fee-based brokerage (12)
Your search for Fee-based brokerage returned 12 results.
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8/02/2018 | Content area: Investment Adviser
The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC Commissio...
3/12/2015 | Content area: Investment Adviser | Private Fund
It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, Mar...
8/19/2014 | Content area: Investment Adviser | Broker-Dealer
Blackbook Capital charged customers $60.50 in addition to or in lieu of commissions on 4,515 transactions over a roughly two-year period, FINRA says....
6/09/2014 | Content area: Investment Adviser | Broker-Dealer
The trend of accounts shifting to the fee-side of the equation is by now well established. The question comes up, though, is would be it be appropriat...
1/01/2007 | Content area: Investment Adviser
4/10/2006 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-52407; IA-2426; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To ...
12/16/2005 | Content area: Investment Adviser
No-Action Letter under Investment Advisers Act of 1940 — Section 202(a)(11)(c) and Rule 202(a)(11)-1 Secur...
11/17/2005 | Content area: Investment Adviser
No-Action Letter Under Investment Advisers Act of 1940 - Rule 202(a)(11)-1 Morgan, Lewis & Bockius LLP ...
4/15/2005 | Content area: Broker-Dealer
1/06/2005 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50979; IA-2339; File No. S7-25-99] RIN 3235-AH78Certain Broker-Dealers Deemed Not To...
1/06/2005 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50980; IA-2340; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To ...
11/04/1999 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279[Release Nos. 34-42099; IA-1845; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deeme...


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