Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds
United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations
The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, 1998 - Business & Economics - 104 pages
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adviser used soft adviser's Advisers Act Release advisers and broker-dealers advisers disclosed advisory client amount of commissions antifraud provisions best execution broker broker-dealers and advisers brokerage allocation client commissions commission dollars commissions paid competitive commission compliance computer hardware conflicts of interest customers dealers directed brokerage arrangements dollars to pay ERISA examined Exchange Act Release federal securities laws fees fixed-income Form ADV fund adviser hard dollars hedge fund investment advisers mixed-use items money manager mutual fund non-research items obligations paid with soft Pricing Services principal trades product or service products and services products/services proprietary research purchased with soft rebates recordkeeping regarding soft dollar safe harbor Section 28(e services provided soft dollar activities soft dollar arrangements soft dollar commitments soft dollar credits soft dollar practices soft dollar transactions step-out transactions supra note third-party research third-party soft dollar total commissions types of products vendor