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Financial markets / Financial services / Investment / 76th United States Congress / Investment Advisers Act / Dodd–Frank Wall Street Reform and Consumer Protection Act / U.S. Securities and Exchange Commission / Financial adviser / Broker-dealer / Financial economics / Finance / Financial system


SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 Release No. IA-3128; File No. S7[removed]RIN 3235-AJ96 Temporary Rule Regarding Principal Trades with Certain Advisory Clients AGENCY: Securities and Exchange Commission.
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Document Date: 2010-12-28 11:47:15

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No. / /

Company

See Bank of America Letter / Bank of America Corporation / Consumer Federation of America / /

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Facility

University School / /

IndustryTerm

retail investor / investment product / /

Organization

Division of Investment Management / National Association / Congress / Boston University School of Law / office of Investment Adviser Regulation / Securities Industry and Financial Markets Association / Commission’s office of Compliance Inspections and Examinations / Public Investors Arbitration Bar Association / Certain Advisory Clients AGENCY / Division of Enforcement / Securities and Exchange Commission / /

Person

Tamar Frankel / Obama / Ron A. Rhoades / Devin F. Sullivan / Brian M. Johnson / Sarah A. Bessin / Matthew N. Goldin / /

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Position

Assistant Director / President / Professor of Law / Branch Chief / broker / Senior Counsel / investment adviser / Personal Financial Advisors / Attorney-Adviser / dealer / adviser / /

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http /

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