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Topic: Soft Dollars

Blass: SEC Not Ready to Make Research-Related Exemption Permanent

March 22, 2019
Those looking to the SEC to extend or make permanent a temporary exemption tied to broker-dealers unbundling research costs from execution costs did not hear the best news at a recent industry conference. Thatís when agency Division of Investment Management Director Dalia Blass told attendees that the Investment Management staff is not yet prepared to recommend such a course to the Commission.

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Soft Dollars and MiFID II: SEC Ponders Post-Relief Course of Action

March 1, 2019
The asset management industry wants to hear from the SEC, while the SEC wants to hear more from the asset management industry. The issue is what the agency will ultimately decide on the question of how broker-dealer research costs should be paid in light of the European Unionís directive requiring that those costs be unbundled from broker-dealer execution costs.

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Soft Dollars: Use Them, But Use Them Wisely

January 16, 2015
Research and brokerage services may be charged to clients through the use of soft dollars. But advisers doing so need to ensure they use them properly.

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Cherry Picking and Misuse of Soft Dollars Drive SEC Case Against Firm

September 13, 2013


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What Can Your Soft Dollars Buy?

September 12, 2012


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