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Special Report on

Soft Dollar Program

soft dollar program special research report Photo by www.wipfli.com
New York – Soft dollars aren’t in the news much these days, so a recent headline that the US Financial Industry Regulatory Authority (FINRA) had fined a broker for soft dollar violations caught our attention.  FINRA fined Terra Nova Financial Group $400,000 for making ‘improper’ soft dollar payments (payments for services with client commissions) involving five hedge fund managers.  The action highlights a nuance of soft dollar regulation where hedge funds can be exempted from US soft dollar regulations if the policies are in the prospectus and disclosed to investors. Terra Nova Financial Group is a small ...
Though there has been general agreement on the existence of a crisis and its consequences, what is less clear is the causes of the crisis, as well as its scope and resolution. Indonesia , South Korea and Thailand were the countries most affected by the crisis. Hong Kong , Malaysia , Laos and the Philippines were also hurt by the slump. The People's Republic of China , India , Taiwan , Singapore , Brunei and Vietnam were less affected, although all suffered from a loss of demand and confidence throughout the region. Foreign debt-to-GDP ratios rose from 100% to 167% in the four large ASEAN economies in 1993–96, then shot up ...
REVIEWS AND OPINIONS
bring it on! algos and soft dollars offer clean audit trail
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Annaly: Soft Economic Data Has Meant Increased Risk Aversion ...
The S&P 500 finished June down 5.4%, while Treasuries enjoyed a significant rally. The yield on the 10-year shed more than 30 basis points and ended the month below 3% for the first time since April of 2009. This could be representative of a flight-to- quality bid, but it’s also likely a change in inflation expectations as CPI has now fallen for two straight months and broader measures of money supply have begun contracting on a year-over-year basis. Along with this recent bout of risk aversion, several other warnings began to flash during the month (more in our new Treasury market commentary below). The much-watched ECRI ... market research, surveys and trends

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SOFT DOLLAR PROGRAM

» 2009 » November » Hedge Fund News From HedgeCo.Net
Reuters – Hedge funds are far from popular, but one lawyer thinks Pennsylvania voters will support his calls for banning corporate bailouts, putting an end to “too big to fail” and taking the bulls-eye off fund managers. Christopher Paige, 38, for the past three years was general counsel for Paige Capital Management, a small New York hedge fund founded by his wife, Michelle, and sister-in-law Jessica. The two women had learned the distressed-debt investing business as analysts for Carl Icahn’s Icahn Associates. Read Complete Article You can skip to the end and leave a response. Pinging is currently not ... industry trends, business articles and survey research
SEC Speech: Remarks before the Investment Company Institute ...
The SEC, as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees. The views expressed herein are those of the author and do not necessarily reflect the views of the Commission or the staff of the Commission. Good afternoon. It's a pleasure to be here with you this year. This Conference provides an excellent opportunity to update you on current developments at the Commission. It's an exciting time to be part of the SEC. Our new Chairman, as you know, brings an extraordinarily keen intellect and unparalleled energy to his job. Of course, Chairman Pitt's ... industry trends, business articles and survey research
RELATED NEWS
Remarks by the President on the Economy at the University of Nevada, Las Vegas
THE PRESIDENT:  Thank you, everybody.  Thank you.  (Applause.)  Please have a seat.  Have a seat.  (Applause.)  Well, thank you, Harry.  Thanks for giving me a chance to get out of Washington.  It’s very hot there.  (Laughter.)  It’s hot here, too, but there’s a little more humidity there.  And I just love coming to Vegas.  (Applause.)  I love being here.  I mentioned last night, I'm not the only one who loves it, because I noticed that, for some reason, Air Force One is more crowded when we're coming to Vegas. (Laughter.)  Somehow I need more staff and logistical support and a couple extra Secret Service guys.  ... market trends, news research and surveys resources
Smart Start focuses on childhood obesity
The bad news is that more than 26 percent still are either overweight or obese, according to the N.C. Nutrition and Physical Activity Surveillance System (NC-NPASS). NC-NPASS includes data on children in WIC, a supplemental nutrition program for women, infants and children, as well as child health clinics and some school based health centers. In 2002, almost 34 percent of Rowan children 2 to 4 years old were overweight or obese, a figure that dropped to 27 percent in 2007. It’s an improvement, but we have a long way to go before our county’s childhood weight concerns are solved. Obesity is a serious health concern not just for ... market trends, news research and surveys resources

INFORMATION RESOURCES

Administrative Proceeding: Hutchens Investment Management, Inc ...
May 9, 2006 ... in connection with HIM's soft dollar program. Violations. 17. As a result of the conduct set forth above, Respondent HIM willfully: ... technology research, surveys study and trend statistics
Report of the Working Group on Soft Dollars/Commission Recapture
The Soft Dollar and Directed Brokerage Working Group respectfully submits the following report and recommendations to the 1997 ERISA Advisory Council. I. WORKING GROUP'S PURPOSE AND SCOPE The 1997 Advisory Council on Employee Welfare and Pension Benefit Plans created a working group to study the need for regulatory changes and/or additional disclosure to pension plan sponsors and fiduciaries on soft dollar and directed brokerage practices. In choosing this topic, council members expressed concern this area lacked sufficient guidance for plan fiduciaries to properly administer ... technology research, surveys study and trend statistics
George Mason Law School: Professor Bruce Johnsen's Home Page
 Professor of Law (July 2001 to present).  Associate Professor (July 1994 to July 2001).  Director, Robert A. Levy Fellowship Program in Law & Liberty (February 1999 to present) ― recruit fellows, supervise research, organize weekly workshop series, assist in placement.  Director of LLM and JD/PhD program.  Associate Dean for Academic Affairs (July 1996 to October 1996) ― assisted Dean with fundraising, interacted with central University administration, supervised law faculty, including faculty hiring, faculty workshops, and faculty committees.  Director, Law & Economics Center (July ...
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SOFT DOLLAR PROGRAM
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QUESTIONS AND ANSWERS
Focus On Soft Skills: A Leadership Wake-up Call
The rules for succeeding in business are changing daily. Yet people are still asking for the magic formula that contributes to a successful organization. Is it talented, knowledgeable people plus innovative products? That's a great start, but something vital is missing from this equation. More and more corporations around the world recognize that, in order to gain a competitive advantage, they also need to make sure their people know how to handle themselves at work and how to relate with their customers and peers. From showing empathy and optimism to extreme self-awareness to knowing what's going on ...
What are the reward points for the AMC Moviewatcher program?
I've been a MovieWatcher member for at years and I can hardly remember what it was like to go to the movies without my card in hand. If you have never heard of this, it's time for you to get with the program! Read my article to learn more. What is it MovieWatcher is a 100% FREE rewards card that keeps track of your movie ticket purchases and gives you points for going to the movies! The MovieWatcher program is linked up with AMC theaters. To use your MovieWatcher card, simply hand it to the ticket agent as you purchase your movie tickets. She will swipe your card and you will usually earn 2 points for each ticket ...