Browsing: U.S. investment research

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New York—Yesterday the SEC issued draft guidance for directors of registered 40 Act funds relating to ‘soft dollar’ practices.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 ...

Alternative Growth

04/22/2008
New York—New and innovative approaches to research represent the fastest growing segments of alternative research, as we continue our examination of the formation rates of alternative research providers (ARPs). ...