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Topic: Soft Dollars

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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Richards: What Compliance Officers Should Focus On Now

October 24, 2008


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Commenters Ask SEC to Recast Soft Dollar Guidance for Fund Directors

October 3, 2008


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Goodman on Industry Compliance Survey (Part 2 of 2): Best Ex and Fair Valuation

October 3, 2008


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Getting Ready for DOL Form 5500 Schedule C

August 15, 2008


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SEC’s Soft Dollar Release Gets a Hard Look From Industry

August 15, 2008


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SEC Proposes Guidance for Fund Boards in Evaluating Soft Dollars and Brokerage

August 1, 2008


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OCIE Issues Second ComplianceAlert Letter

July 25, 2008


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SEC Chairman Lays Out Ambitious Regulatory Agenda

June 20, 2008
Fasten your seatbelts.

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Donohue: Advisers Should Reevaluate Best Ex Policies in Light of Market Developments

June 20, 2008


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Form ADV Part 2: The Reviews Are In

June 6, 2008


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SEC’s Goodman Urges Advisers to Unbundle, Negotiate Commissions, and Re-think Reliance on Third Parties

March 28, 2008


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Where’s That Soft Dollar Rulemaking, Already?

February 15, 2008


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A First Look at New Form ADV Part 2

February 15, 2008


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Valuation, Cash Solicitation, and Advertising: What’s Next From the Division of Investment Management

January 25, 2008


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Broker Sued For Failing to Have Adequate Procedures, Leading to Improper Soft Dollar Payout

January 11, 2008


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