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Rules (9)
Your search for Rules returned 9 results.
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4/10/2017 | Content area: Investment Adviser
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's ...
6/09/2014 | Content area: Investment Adviser
More light may be cast on dark pools and high-frequency trading, and firms that use algorithmic strategies may be mandated to do risk management. Thes...
1/28/2013 | Content area: Investment Adviser
With the publishing in the Federal Register last week of the SEC's new lost securities rule, it's a good time to take a second look at it (IA Watch, J...
7/16/2012 | Content area: Investment Adviser | CPO/CTA
Last week the SEC and the CFTC moved a big step forward in honoring their Dodd-Frank obligation to regulate derivatives by defining key terms like "sw...
4/30/2012 | Content area: Investment Adviser
The SEC last week released an order extending the deadline for broker-dealers to report large trader data to the Commission, which was to begin April ...
1/02/2012 | Content area: Investment Adviser
It's been about a year since California's law changed in a way that could force some advisers and their sales staff to register as lobbyists when goin...
3/30/2011 | Content area: Investment Adviser
Victoria Hogan, president of NorthPoint Compliance in Red Bank, N.J., shares a list of questions compliance staff can anticipate traders may be asked ...
4/20/2009 | Content area: Investment Adviser
In a story last week (IA Week, April 13, 2009) entitled "grade these ideas for annual review test from your peers," James Jones, CCO/director of opera...
5/14/2003 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47849; File No. S7-11-03RIN 3235-AI86Request for Comment on Nasdaq Petition Relating ...


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