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Keywords: Allocation
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 52–57.
Published: 27 February 2014
...Charles S. Gittleman; Russell D. Sacks; Jennifer D. Morton Purpose – The purpose of the paper is to describe the recent amendments to FINRA's IPO Allocation Rule that were approved by the US Securities and Exchange Commission. Design/methodology/approach – The paper provides a description...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (3): 28–31.
Published: 09 September 2013
... advisers registered under the Investment Advisers Act of 1940 (the “Advisers Act”) to follow when engaging in block trades for client accounts. Design/methodology/approach – The paper summarizes the SEC's findings regarding the adviser's block trade allocation practices, resulting violations...
