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An SEC Rule on Research

Traders Magazine, July 2004

Gregory Bresiger

The Securities and Exchange Commission, which is concerned about soft-dollar abuses, may write a new rule defining research. The potential measure comes as an SEC task force conducts an investigation into how money mangers use clients' commission dollars to purchase research. While the arrangement - known as soft dollars - is legal, many firms are apparently interpreting the word "research" a bit too liberally.

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