3/29/2017 | Content area:
These proceedings arise out of an illicit scheme by interdealer broker LCM to obtain undisclosed trading fees from its customers. From at least 2008 t...
7/07/2014 | Content area:
Investment Adviser | Private Fund
A firm going through an SEC exam reports intense interest by examiners at what wrap fee sponsors are doing to monitor step-out trades by subadvisers. ...
5/14/2012 | Content area:
Brokers may be directing your trade executions through certain exchanges because they're getting rebates that could increase trading costs by $5 billi...
4/24/2001 | Content area:
No-Action Letter under:
Investment Company Act -
Sections 6(c), 11(a), 11(c), 12(d)(1)(J), 17(b)