Best Execution

Click here to open an Excel worksheet designed to track the top 10 brokers selected for best execution purposes, including listing soft dollar percentages and ...

Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it ...

Confidence doesn't exactly ooze from those charged with valuing bonds, especially the municipal variety, and the economic times are conspiring to make the task harder ...

Perhaps you're asking "what best execution committee?" So let's start there. Create a best execution committee, states J. Christopher Jackson, director and head of U.S. ...

This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.

A Member or Associate must consider the relevant facts and circumstances including, at a minimum, the following factors in discharging its obligation to use reasonable ...

This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.