Principal Trades

Enforcement cases born from the financial crisis continue to wrap up. Last week the SEC hit hard Shadron Stastney for personally benefiting from the sale ...

As expected, the SEC published a final rule before 2012 drew to a close extending the principal trading exception until Dec. 31, 2014 (IA Watch, ...

This is a final rule released by the SEC late in 2012 to extend the principal trading exception until Dec. 31, 2014.

With only weeks left before the SEC is due to sunset Advisers Act rule 206(3)-3T, most commenters agree with a recent agency proposal to extend ...

It looks like the principal trading exception, due to expire this year, will be extended for two more years. A new SECproposal would sunset Advisers ...

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.

Jerome Keenan feels like David in a land of Goliaths. The CCO at JSK Associates ($29M in AUM) in White Plains, N.Y., recalls the day ...

This is the SEC's extension of the principal trading rule. This rule would sunset in 2013.

It's not surprising that the SEC has proposed to push back the sunsetting of its principal trades exception until 2013. But the agency's newest proposal ...

The scenario begins with a dually registered RIA in which a clearing firm demands the adviser run a transaction through the firm's account. By day's ...