Resource Library - Investment Adviser Association

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Category: Business Ops/HR

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No-action letter – Mark Bailey & Co. (directed brokerage, disclosure, conflicts)

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May 02, 1988

Keywords: Brokerage and Training, Selected Rules and Other Regulatory Guidance

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, Conflicts

No-action letter – Bunching of Client Orders

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October 05, 1995

Keywords: Brokerage and Training, Selected Rules and Other Regulatory Guidance

Categories & Topics: Brokerage & Trading, Business Ops/HR

SEC Clarifies Rules on Principal and Agency Cross Transactions

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August 21, 1998

Categories & Topics: Brokerage & Trading, Business Ops/HR

SEC Issues No-Action Letter Clarifying Rules on Private Investment Companies

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June 23, 1999

Keywords: Private Funds, Selected Rules and Other Regulatory Guidance

Categories & Topics: Business Ops/HR, Private Funds

Investment Adviser Trading Errors: Adopt a Policy, Disclose the Policy, Follow the Policy

Trade Allocations and Trading Errors

January 12, 2001

Keywords: Brokerage & Trading

Categories & Topics: Brokerage & Trading, Business Ops/HR

Wrap Program Compliance Issues

Outlines Articles and Memoranda

April 08, 2002

Keywords: Outlines Articles and Memoranda, Wrap Fee SMA

Categories & Topics: Business Ops/HR, Wrap Fee

OCIE Document Request List – Washington, DC – proxy voting

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July 29, 2002

Keywords: SEC Inspection Request Lists by sweep

Categories & Topics: Business Ops/HR, Compliance, Examinations, Proxy Voting

Proxy Voting Final Rule Release

January 31, 2003

Keywords: Guidance, Proxy Voting, Regular Members

Categories & Topics: Business Ops/HR, Proxy Voting

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