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Keywords: Brokerage services
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Journal Articles
SEC targets broker-dealer implications of transaction-based deal fees
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (4): 75–76.
Published: 07 November 2016
...Jason Daniel Purpose To explain a US Securities and Exchange Commission (SEC) enforcement action against a registered investment adviser to private equity funds for allegedly providing brokerage services in connection with the acquisition and disposition of the securities of portfolio companies...
