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August 03, 2021

Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

eBook details

Title: Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
Author : The Law Library
Release Date : January 21, 2018
Genre: Law,Books,Professional & Technical,
Pages : * pages
Size : 220 KB

Description

The Law Library presents the complete text of the Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).
Updated as of May 29, 2018

The Securities and Exchange Commission is publishing this interpretive release with respect to the scope of “brokerage and research services” and client commission arrangements under Section 28(e) of the Securities Exchange Act of 1934 (“Exchange Act”). The Commission is soliciting further comment on client commission arrangements under Section 28(e).

This ebook contains:
- The complete text of the Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
- A dynamic table of content linking to each section
- A table of contents in introduction presenting a general overview of the structure