Cross-Trades

(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, controlled by, ...

When the SEC forces you to hire a compliance consultant as part of a giant settlement, you know there are issues with your program.Compliance missteps ...

Like striking a match in a tinderbox, engaging in cross trades creates hazards that can easily burn an adviser (see related story). Let's recap the ...

Click here to see a cross trade consent form, which comes courtesy of Brookfield Investment Management in New York. This is a Word 2009 file.

Gardner Russo & Gardner: No-Action letter dated June 7, 2006 Investment Advisers Act of 1940 – Section 206(3) Gardner Russo & Gardner June 7, 2006 ...