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Volume 1, Issue 4
1 January 2001
Journal of Investment Compliance Cover Image for Volume 1, Issue 4
Review Article| January 01 2001

A Broker's Disclosure of Payments for Money Market Sweeps: The Second Circuit Defers to the SEC

DAVID L. CAREY
DAVID L. CAREY
Senior counsel at the New York Stock Exchange.
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Author & Article Information
Publisher: Emerald Publishing
Online ISSN: 1758-7476
Print ISSN: 1528-5812
© MCB UP Limited
2001
Journal of Investment Compliance (2001) 1 (4): 61–63.
https://doi.org/10.1108/eb045895

The author examines a recent decision from the United States Court of Appeals for the Second Circuit, Press v. Quick & Reilly. It examines the claims made with regard to “sweeps” into money market accounts discussing both the SEC's and the court's discussion of disclosure requirements.

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© MCB UP Limited
2001
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