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Cross Trading Securities Regulation

Proskauer Rose LLP

SEC’s Division of Examinations Publishes Risk Alert on Investment Adviser Principal and Cross Trading Practices

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On July 21, 2021, the Division of Examinations (“Exams”) issued a risk alert on principal and cross trading practices by investment advisers (the “Risk Alert”).  This Risk Alert supplements a prior risk alert published by...more

Ballard Spahr LLP

OCIE Issues Risk Alert on Principal and Agency Cross-Trading Compliance Issues

Ballard Spahr LLP on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert earlier this month from its national examination program warning investment advisers of the most common...more

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