Share this page | Email | Contact Us

Special Report on

New Soft Dollar Rules

new soft dollar rules special research report Photo by
Soft dollar arrangements generally arise when an adviser receives research or brokerage products or services from a broker-dealer in exchange for placing securities transactions with that broker-dealer. In order to receive the products or services, the adviser may pay more than the lowest possible commission rate. Because the research and brokerage services are provided in exchange for client commission dollars (i.e., soft dollars), and because commissions are viewed as client assets, an adviser could be viewed as breaching its fiduciary duty to clients by using client assets for its own benefit. Section 28(e) of the Securities ...
containing 52 cards. The basic rules of the game involve adding the value of an initial two card hand in hopes of being dealt a value of twenty-one. If a value of less than twenty-one is dealt, the player may choose to be dealt single cards until they either reach a value of twenty one, reach a value they feel comfortable to play, or reach a value that exceeds twenty-one. The winner holds a hand with a value of, or nearest to, twenty-one without exceeding it. The game is played in many variations at casinos with different table rules. Much of blackjack's popularity is due to the mix of chance, skill, and the publicity that ...
Auerback: The ECB is the New “United States of Europe” « naked ...
Only a closer union can save the euro. In the longer term, it will be necessary to put in place a permanent fiscal arrangement through which the central euro zone authorities distribute funds to be used by member nations. Ideally this should be in the hands of the equivalent to a national treasury responsible to an elected body of representatives—in this case, the European Parliament. But politically, this is a non-starter, particularly in today’s environment. Germany in particular would only accede to a “United States of Europe” run on German lines, in effect making the euro zone a “United States of Germany” or, at the very ... market research, surveys and trends
Baron, Jerome Seymour
(CRD # 13158, Registered Principal, Woodbury, New York) and Brean Murray, Carret & Co., LLC (CRD # 23723, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm and Baron were censured and fined $15,000 jointly and severally. The firm was also fined an additional $166,500, ordered to pay $2,485.09, plus interest, in restitution to investors, and required to revise its written supervisory procedures regarding its supervisory system, procedures and qualifications, best execution, anti-intimidation/coordination, trade reporting, sales transactions, trading halts, soft dollar accounts and trading, ... market research, surveys and trends


Are We Better Off: The Billion-Dollar Loophole | Mother Jones
If there were a prize for the most creative attempt to evade the new campaign finance rules, it would have to go to Tom DeLay, the House Majority whip. Faced with the new rules promulgated by the 2002 McCain-Feingold finance reform law – rules which prevent office holders from collecting the unregulated five- and six-figure ‘soft money' checks that so colored political campaigns in the 1990s — the Texas Republican has gone philanthropic. Late last year, DeLay fashioned a charity, Celebrations for Children, ostensibly to funnel money to other charities' youth programs. But the most ambitious, ... industry trends, business articles and survey research
Emerging Developments in Hedge Fund Law | Thompson Hine LLP
case clearly demonstrated the Securities and Exchange Commission�s commitment to more comprehensively regulate the hedge fund universe; however, how the SEC will achieve this goal is uncertain. In the months following the Goldstein decision the SEC has proposed a new antifraud rule, a new �accredited investor� standard for private offerings, and may be using soft dollar rules to regulate hedge fund advisers. Nevertheless, regardless of the SEC�s success in regulating hedge funds either directly or indirectly, hedge fund managers should note their common law obligations to act as fiduciaries of hedge funds. On December 27, ... industry trends, business articles and survey research
Ldn FX: US Holiday Leaves Euro-Dollar Trade Lacking Direction
LONDON, July 5 (MNI) - The U.S. holiday has left the market listless as many traders decided to take a long weekend break. EURO SUMMARY: Asia opened at $1.2560, with a very tight range of $1.2520-65. failed to have any impact as the market takes a rest after the rigours of last week. Earlier sales in Asia from investment banks kept the euro slightly soft, but a distinct lack of momentum is clear. Stops are positioned at $1.2520 and some technical support should be evident around Friday's low of $1.2483. EUROZONE: Press pick-ups in the eurozone Monday, * UK PRESS: Bronislaw Komorowski, the candidate for ... market trends, news research and surveys resources
China 'Soft Landing' Hits Global Markets Searching for Demand
July 1 (Bloomberg) -- China’s success in cooling its economy is alarming investors concerned that a slowdown in the engine of the global recovery may help trigger another recession. Manufacturing expanded less than forecast in June, a survey of purchasing managers compiled by the National Bureau of Statistics showed today. The Conference Board two days ago lowered its April leading economic index reading, triggering a worldwide sell-off in stocks. China’s growth is in the midst of a drop of more than 4 percentage points, a “good slowdown” that averts overheating, according to Goldman Sachs Group Inc. That ... market trends, news research and surveys resources


The SEC's New Soft Dollar Rules: Full and - alert - SEC ...
SEC's New Soft Dollar Rules. Step 1: Are the Services and/or Products Eligible Under the Safe Harbor? Money managers may use client commissions to pay only ... technology research, surveys study and trend statistics
Commission Guidance Regarding Client Commission Practices Under ...
review the adviser's compensation, including any “soft dollar” benefits the ... since the founding of the New York Stock Exchange nearly two hundred years earlier. ..... confirmation rules and reporting of the trade under NASD rules, ... technology research, surveys study and trend statistics
McKinnon Speech Text
New rules for the dollar standard game are proposed for ...... parity regime, soft dollar pegging is prevalent: governments, forced to act individually, are ...
latest webinars
  1. Microsoft PowerPoint - Webinar - Form 5500
Join these Webinars to learn more about current research, trends and surveys.
Does any one know where I can find a soft dog carrier (bag perhaps ...
I am fostering a beautiful dog that I am in love with. I am considering adopting her, but want to be responsible about it. I do not own a car, and the public transit rules in my city state that all dogs (no matter the size) are allowed on public transit if they are in a carrier. Does anyone know where I can by such a carrier for a dog that weighs 37lbs? I live in Montreal and could purchase of off the internet. thanks in advance! 1 week ago (Tiebreaker) Answerer 1 look on ebay. that is probably the best way to get it. but if u have a petco around there then go there. Sign in to vote! 0 Rating: Good Answer 0 Rating: Bad Answer ...
WikiAnswers - Human Resources Questions including "What is Harvard ...
The best action would probably to sit down and coach the employee your company's expectations in business etiquette. One of the... Popularity: 1   •   Tools:  Recategorize Differences between traditional HRM and Strategic HRM? In the last two decades there has been an increasing awareness that HR functions were like an island unto itself with softer... Popularity: 1   •   Tools:  Recategorize What theory do you use when studying barriers to women and leadership? The "glass ceiling" is the most common phrase to describe the invisible barrier ...