Hedge Fund Registration and CompliancePractising Law Institute, 2010 - Hedge funds |
Contents
HEDGE FUNDS AND CONGRESSIONAL INVESTIGATIONS | 31 |
CERTAIN INVESTORRELATED LEGAL AND COMPLIANCE | 43 |
HEDGE FUND TRADINGRELATED COMPLIANCE ISSUES | 55 |
Copyright | |
6 other sections not shown
Common terms and phrases
account statements addition Advisers Act alternative uptick rule amended rule arbitrage bona fide purchase breaker halt rule broker or dealer broker-dealer circuit breaker halt circuit breaker rules client assets commenters compliance covered security current national best custody of client decline effective estimate exception execution or display Form ADV-E former Rule 10a-1 hedge fund independent public accountant internal control report investment adviser last sale price Letter marked short exempt market maker market participants modified uptick rule national best bid offered securities paragraph policies and procedures pooled investment vehicles price test restrictions proposed amendments proposed circuit breaker proposed modified uptick proposed Rule proposed short sale proposed uptick rule Proposing Release pursuant qualified custodian registered Regulation NMS Regulation SHO related person riskless principal sale price test Section selling circuit breaker short sale order short sale price short selling circuit supra note surprise examination requirement trading center transactions triggered VWAP