TY - JOUR
AU1 - O'MALLEY, TERRANCE J.
AU2 - SMITH, THOMAS J.
AB - This article outlines, in a very practical manner, the various methods available to investment advisors when trying to effect securities transactions for their clients. The authors examine several different ways the transactions may take place while describing in detail the pitfalls and concerns that must be considered by the careful practitioner. It also contains helpful illustrations to understand the transactions.
TI - Effecting Client Transactions under the Investment Advisers Act
JF - Journal of Investment Compliance
DO - 10.1108/eb045876
DA - 2000-02-01
UR - https://www.deepdyve.com/lp/emerald-publishing/effecting-client-transactions-under-the-investment-advisers-act-I300uOfnnK
SP - 29
EP - 39
VL - 1
IS - 2
DP - DeepDyve
ER -