SEC Correction: Reinstating an Exception to an Exception to an Exception
By EsqSocial Corporation 03/04/14
No one could be blamed for having difficulty understanding the intricacies of the rules under Section 17(d) of the Investment Company Act, the statute that prohibits “joint transactions” without an SEC order. At the end of 2013, the SEC may have...
By: Morrison & Foerster LLP - Broker-Dealer