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Soft Dollars
Be cautious about accumulating too large a pool of soft dollar credits. You could see them vanish in a flash, or be accused of not ...
Exchange Act of 1934 Section 28E, the soft dollars safe harbor
This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 229 and 230[RELEASE NOS. 33-8591A; 34-52056A; IC-26993A; FR-75AINTERNATIONAL SERIES RELEASE NO. 1294A]FILE NO. S7-38-04RIN 3235-AI11SECURITIES OFFERING REFORM; CORRECTIONAGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26077; File No. S7-47-02]RIN 3235-AI57Certain Research and Development CompaniesAGENCY:Securities and Exchange Commission ("Commission").ACTION:Final rule.SUMMARY:The Commission is adopting ...
If money managers use commission dollars of their advised accounts to obtain research and brokerage services, Section 28(e) prevents them from being held to have ...
This marks one of the earliest SEC interpretive releases related to guidance around use of soft dollars and best execution. This hails from 1986.