Principal Trades with Certain Advisory Clients (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition)

By The Law Library

The Law Library presents the complete text of the Principal Trades With Certain Advisory Clients (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).

Updated as of May 29, 2018

The Securities and Exchange Commission is amending rule 206(3)-3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The amendment extends the date on which rule 206(3)-3T will sunset from December 31, 2012 to December 31, 2014.

This ebook contains:

- The complete text of the Principal Trades With Certain Advisory Clients (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

- A dynamic table of content linking to each section

- A table of contents in introduction presenting a general overview of the structure

• Format: Paperback
• Language: English
• ISBN: 1795038748
• ISBN13: 9781795038744
• Release Date: January 2019
• Publisher: Independently Published
• Length: 28 Pages
• Weight: 0.15 lbs.
• Dimensions: 0.1" x 7.0" x 10.0"