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Wall Street, the SEC and MiFID II: Investment Research, Hard Dollars and Special Compensation under the Investment Advisers Act of 1940

Thursday, December 5, 2019 12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


On November 4, 2019, the SEC staff extended for three years the effectiveness of a temporary no-action letter to SIFMA that was scheduled to expire in mid-2020. The letter permits brokers to accept hard dollar payments for investment research without having to register as investment advisers. The extension of the no-action letter may reflect the SEC’s continuing struggles to reconcile a rapidly-evolving marketplace for investment research with a 79-year old statute and a judiciary that has vacated past SEC rulemaking initiatives. The lunch program will feature an expert panel providing a discussion on the evolution of the investment research payment processes.

Registration Categories:
BBA Member – Free. Included as part of your membership.
Non-Member - $100.00

Sponsoring Section/Committee(s):




Stiv Mucollari


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