TY  - JOUR
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.
VL  - 1
IS  - 2
SN  - 1528-5812
DO  - 10.1108/eb045876
UR  - https://doi.org/10.1108/eb045876
AU  - O'MALLEY TERRANCE J.
AU  - SMITH THOMAS J.
PY  - 2000
Y1  - 2000/01/01
TI  - Effecting Client Transactions under the Investment Advisers Act
T2  - Journal of Investment Compliance
PB  - MCB UP Ltd
SP  - 29
EP  - 39
Y2  - 2024/04/19
ER  -