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Traders Magazine, September 2000

John A. Byrne

Soft Dollars

A Securities and Exchange Commission proposal requiring investment advisers to electronically file more information in their soft dollar arrangements, is raising objections. Investment advisers were expected to start electronically filing data this month. The web-based system, operated by the National Association of Securities Dealers, would be more accessible by the general public than the traditional paper-based arrangement. The sticking point is over whether the SEC will require advisers to file information that some advisers think will hurt their business. Until that is resolved, the old filing requirements are in force.

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