Resource Library - Investment Adviser Association

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Category: Compliance

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Class Exemption PTE 77-4 for Certain Transactions Between Investment Companies and Employee Benefit Plans

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March 31, 1977

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

Use of soft dollars and directed commission arrangements by ERISA fiduciaries

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July 24, 1986

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

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

USE OF ELECTRONIC MEDIA BY BROKER-DEALERS, TRANSFER AGENTS, AND INVESTMENT ADVISERS FOR DELIVERY OF INFORMATION; ADDITIONAL EXAMPLES UNDER THE SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, AND INVESTMENT COMPANY ACT OF 1940

Selected Rules

May 15, 1996

Keywords: Electronic Media, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, Electronic Delivery

OCIE Document Request List

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January 01, 2001

Categories & Topics: Compliance, Examinations

OCIE Document Request List – Northeast Regional Office

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February 27, 2002

Categories & Topics: Compliance, Examinations

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

Performance Advertising Examination

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August 03, 2002

Categories & Topics: Advertising, Compliance, Examinations

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