Special Report on
Permitted Soft Dollar Practices
Permitted Soft Dollar Practices - Trends
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Research is the foundation of the money management industry. Providing research is one important, long-standing service of the brokerage business. Soft dollar arrangements have developed as a link between the brokerage industry's supply of research and the money management industry's demand for research. Broker-dealers typically provide a bundle of services including research and execution of transactions. The research provided can be either proprietary (created and provided by the broker-dealer, including tangible research products as well as access to analysts and traders) or third-party (created by a third party but ...
This memorandum contains information regarding eligible and ineligible uses of soft dollars within the safe harbor found under Section 28(e) of the Securities Exchange Act of 1934. This memo is structured in three parts: (i) discusses, generally, the eligibility of research services; (ii) discusses, generally, the eligibility of brokerage activities; and (iii) discusses, generally, mixed-use items. Research Services For purposes of the safe harbor, a person provides . . . research services insofar as he – (A) furnishes advice, either directly or through publications or writings, as to the ... Read More
SURVEY RESULTS FOR
PERMITTED SOFT DOLLAR PRACTICES
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