Soft Dollars

An investment adviser and two principals paid dearly last week for misusing soft dollars, including using soft dollars for a $214,000 divorce payment.The tale of ...

Describing the concept of soft dollars can be a challenge. Poor disclosures about soft dollars usage can lead to an enforcement action (IA Watch, Oct. ...

There may be a slight trend of moving away from the use of soft dollars, but no one envisions the practice disappearing like the horse ...

The latest case of the SEC targeting an advisory firm CCO for malfeasance centers not on the firm's lack of fiduciary duty to all of ...

This adviser and others were charged with engaging in two distinct schemes: fraudulent trade allocation by “cherry-picking” favorable trades and misusing “soft dollars” commissions.

This 2013 no-action letter from the SEC's Division of Trading and Markets discussing when soft dollars would be appropriate for fixed-income transactions.

You may be surprised to learn that soft dollar arrangements in one form or another date back to the 1700s. That's a tidbit contained in ...

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 add ...

By the end of this week you will have had to answer Item 8.G.1 and 8.G.2 on the new Form ADV, Part 1. These are ...

It's never easy to capsulize soft dollars usage. Take commission-sharing arrangements. This phrase creates confusion because regulators in England take it to mean one thing, ...