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Open Categories Menu This memorandum contains information regarding eligible and ineligible uses of soft dollars within the safe harbor found under Section 28(e) of the Securities Exchange Act of 1934. This memo is structured in three parts: (i) discusses, generally, the eligibility of research services; (ii) discusses, generally, the eligibility of brokerage activities; [...]
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14 October
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Laws
Overview of the Securities Exchange Act of 1934
The Securities Exchange Act of 1934 (the “Exchange Act”) is a very important act for hedge fund managers. This act affects many aspects of the hedge fund industry and Section 10 (and accompanying Rule 10b-5) is a central source of power for the SEC. I have included an overview of [...]
