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Searching Content indexed under Investment Strategy by Hillel Cohn ordered by Published Date Descending.
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SEC Issues Proposed Rules On Incentive-Based Compensation Practices For Larger Broker-Dealers And Investment Advisers
On March 2, 2011, the SEC released a proposed rule regarding incentive-based compensation arrangements at "covered financial institutions" with $1 billion or more in assets.
United States
23 Mar 2011
2
SEC Releases Study On Fiduciary Standard For Broker-Dealers
On January 21, 2011, the Securities and Exchange Commission ("SEC") released its Congressionally mandated study on the effectiveness of current legal and regulatory standards for broker-dealers and investment advisers (the "Study").
United States
13 Feb 2011
3
A Fiduciary Duty for Broker-Dealers? How Dodd-Frank May Change the Way Broker-Dealers Conduct Business
On July 15, 2010, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd- Frank Act").
United States
20 Jul 2010
4
SEC Proposes Broader Access By Foreign Broker-Dealers To U.S. Investors
Under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”), any person engaged in the business of effecting securities transactions in the United States for his own account or the account of others is required to register with the SEC as a broker-dealer.
United States
17 Jul 2008
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