Browsing: unbundling commissions

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 ...

The Taxman Cometh

04/15/2008
Tax reform is taking the taxes off things that have been taxed in the past and putting taxes on things that haven’t been taxed before. –Art Buchwald New York—The search for ...

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 ...