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Investment adviser news – first quarter 2009

Reed Smith LLP

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USA June 5 2009

The SEC issued assurance that it would not seek enforcement action under Section 206(3) of the Investment Advisers Act of 1940 (“Advisers Act”) against a “Participating Firm” if the Participating Firm tenders or causes the sale of “Subject Securities” to the Participating Firm on behalf of a “Discretionary Client” without first obtaining the Discretionary Client’s affirmative consent, provided that the Participating Firm follows the “Discretionary Client Protocol.”

Reed Smith LLP - Alicia G. Powell, George F. Magera and Justine S. Patrick

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Filed under

  • USA
  • Capital Markets
  • Reed Smith LLP

Topics

  • Security (finance)
  • Consent

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  • Investment Advisers Act 1940 (USA)

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  • US Securities and Exchange Commission

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