4/09/2012 | Content area:
What constitutes soft dollar services can sometimes seem as difficult to discern as vanilla against a white background (IA Watch, May 17, 2010). We'll...
3/14/2011 | Content area:
It's never easy to capsulize soft dollars usage. Take commission-sharing arrangements. This phrase creates confusion because regulators in England tak...
10/26/2009 | Content area:
The notion of "mixed use" under soft dollars dates to 1986, although some firms remain confused about what fits within the safe harbor. Ironically, so...
8/31/2009 | Content area:
Here's the scenario. Your firm serves as a sub-adviser on a wrap program's large cap portfolio. The sponsor of the wrap program forbids the use of sof...
7/24/2006 | Content area:
This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.
12/27/2001 | Content area:
Commission Guidance on the Scope of Section 28(e) of the Exchange Act
SECURITIES AND EXCHANGE COMMISSION...