SEC aims to clarify soft-dollar rules

Fri Oct 21, 2005

As part of an effort to clarify the ground rules for what is permissible under soft-dollar dealings between brokerage groups and their investment management counterparties, the Securities and Exchange Commission this week issued a guidance release outlining the Commission’s views.

The 49-page report is not the final word on what is allowed and what is not allowed for...

ISSN: 2151-1845 / CDC10004H


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