Trading

No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...

This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.

SECURITIES AND EXCHANGE COMMISSION[Release No. 34-42755; File No. 4-434]RIN 3235-AH92Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Proposed Amendments to National Market System Plan .SUMMARY:The Securities and ...