SEC Keeps Up Pressure On Soft Dollar Violators
Traders Magazine, February 2001
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.
All TradersMagazine.com articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, online technology directory, the iPad App, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and trading strategies.