Principal Trades

This the rule the SEC put out in late December 2009, just before its principal trade exception for broker-dealers was about to expire. The rule ...

Just days before temporary Advisers Act rule 206(3)-3T was due to expire, the SEC issued a final rule this month that pushes the sunsetting of ...

Not only will 2009 become history when this month ends but, barring SEC action, so will a two-year-old temporary rule that allows dually registered firms ...

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

Investment Advisers Act of 1940 – Section 206(3) Credit Suisse First Boston, LLC August 31, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...