SEC settles administrative proceedings against adviser and top executive over undocumented block trade allocation practices
Jackson Galloway and James Catano
| Year of publication: |
2013
|
|---|---|
| Authors: | Galloway, Jackson ; Catano, James |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 14.2013, 3, p. 28-31
|
| Subject: | Securities and Exchange Commission | Allocation | Block trades | Investment adviser | Rule 204-2 | Rule 206(4)-7 | Finanzmarktaufsicht | Financial supervision |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10010222942