Sec Votes To Adopt Temporary Rule On Principal Trades With Certain Advisory Clients; Votes To Propose Amendments To Interpretive Rules Under Advisers Act Affecting Broker-deals
LawFuel – Securities Law Newswire Washington, D.C., Sept. 20, 2007 – The Securities and Exchange Commission yesterday voted to adopt, on an interim-final basis, a temporary rule that will establish an alternative means for investment advisers who are registered as broker-dealers to meet the requirements of Section 206(3) of the Advisers Act when they act […]