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Compliance with Rule 105 of Regulation M
Compliance with Rule 105 of Regulation M
 

March 10, 2015

Division
Investment Adviser

Speaker: Joel Stocksdale, Senior Principal Consultant, ACA Compliance Group
Speaker: Ken Harman, Consultant, ACA Compliance Group
Speaker: Edward Dartley, Partner, Pepper Hamilton LLP


Webcast Discussion Includes:

  • Understanding the Rule 105 restricted period
  • Exceptions to the rule's trading prohibitions
  • Implications for violating the rule
  • Practices and controls to promote compliance with the rule