IAA Responds to SEC Staff Request for Comment on Investment Company Cross Trading Rule 17a-7 April 13, 2021 IAA members today engage in cross trading between client accounts (i.e.,...
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt December 28, 2020 The SEC has fined an Iowa-based dual-registrant over $20 million in connection...
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