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SEC Keeps Up Pressure On Soft Dollar Violators

Traders Magazine, February 2001

Sanford Wexler

The Securities and Exchange Commission is likely to issue a set of recommendations in the coming months on what constitutes acceptable research in soft dollar transactions, according to industry sources.

The recommendations come in the wake of the agency's extensive 1998 report on soft dollar practices, which cautioned investment advisers to be more thorough in disclosing their arrangements.

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