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Soft Dollar Disclosure on the Table

Traders Magazine, July 2008

Peter Chapman

Too hot? Too cold? Or just right? For those concerned with the latest Securities and Exchange Commission recipe for soft dollar disclosure, the answer is "all of the above." Some say the regulator's proposed reforms go too far. Others say they don't go far enough. Still others maintain that the regulator's proposal is right on target. The latest round in the long-running soft dollar tussle between the SEC and the industry comes as part of the commission's campaign to revamp Form ADV, the annual disclosure document filed by investment advisers.

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