Browsing: soft dollars

What Guidance on Guidance?

08/24/2008
New York – The Investorside Research Association, the U.S. trade association for independent research, is formulating its position on the SEC’s recently proposed soft dollar disclosure guidance to mutual fund ...

Passing The Buck

07/31/2008
New York—Yesterday the SEC issued draft guidance for directors of registered 40 Act funds relating to ‘soft dollar’ practices.  In the ‘sunshine’ meeting in which the commissioners discussed the proposed ...

My Broker Made Me Do It…

07/13/2008
New York—A recent survey of compliance officers at SEC-registered investment advisors shows continuing confusion about the topic of soft dollars.   Two years have passed since the SEC clarified ...

SEC Receives Comments on Form ADV Changes

03/11/2008
New York—The SEC is starting to receive comments on its proposed changes to Form ADV, and, fittingly, the first few comments pertain to the soft dollar disclosure provisions. The first ...

SEC Releases New Form ADV Guidelines

03/05/2008
New York – The U.S. Securities and Exchange Commission has posted its proposed amendments to Form ADV, including its guidelines for the disclosure of “soft dollars”. The proposed ...