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Template:Investment research and the Investment Advisers Act 1940: Difference between revisions
Template:Investment research and the Investment Advisers Act 1940 (view source)
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This means a US [[broker-dealer]] can provide research to its clients without having to register with the {{tag|SEC}} as an [[investment adviser]] so long as it avoids accepting any “[[special compensation]]” in connection with the research. A bundled trading [[commission]] is the traditional means of compensating a broker-dealer for execution and research. | This means a US [[broker-dealer]] can provide research to its clients without having to register with the {{tag|SEC}} as an [[investment adviser]] so long as it avoids accepting any “[[special compensation]]” in connection with the research. A bundled trading [[commission]] is the traditional means of compensating a broker-dealer for execution and research. | ||
Let me guess: {{isia}} | Let me guess: You’re thinking, “{{isia}}”. I know ''I’m'' sorry you asked. | ||
====Resources==== | ====Resources==== | ||
*[https://www.sec.gov/rules/interp/34-23170.pdf SEC interpretative guidance] | *[https://www.sec.gov/rules/interp/34-23170.pdf SEC interpretative guidance] | ||