Regulation R Training
Gene R. Elerding of Manatt, Phelps & Phillips, LLP in Los Angeles has provided us with a nine page review of Regulation R. This review of the broker rules includes a brief history, and details of the key provisions, including:
- Networking Exception
- Institutional and High Net Worth Customer Exception
- Trust and Fiduciary Activities Exception
- Sweep Accounts and Transactions in Money Market Funds
- Safekeeping and Custody Exception
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