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Keywords: Block trades
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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...
