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SEC Clarification on Soft Dollars Said to Level Playing Field: Independent research more on par with bulge-bracket firms.(Securities and Exchange Commissions)
The Securities and Exchange CommissionOs recent move to clarify what services can be paid for by so-called soft-dollar commissions will put independent research firms on a more level playing field with their bulge-bracket counterparts. And that will put the onus on the OindiesO to prove their worth in direct competition.
OThe main outcome of the SECOs July 12 vote was to put clearly and unambiguously all commission-paid research on the same footing,O says Robert Braun, director of institutional sales for Midwood Securities, a New York agency brokerage that deals in soft-dollar commissions. OThat means bundled deals by full-service brokers providing proprietary ...
- Killing Soft Dollars Would Kill Independent Research.
- Newspaper article from: Money Management Executive Musher, Rafi May 10, 2004 700+ words
...their trading dollars for independent research. Soft dollars offer a way to pay for...for some data feeds, soft dollars allow fund managers to...structure on Wall Street, the independent research business has sprouted...
- Donaldson calms indie fears.(Investorside Research Association)(soft...
- Magazine article from: Investment Dealers' Digest September 20, 2004 700+ words
...some in the independent research industry...group for the independent research industry...future of soft dollars was hurting...to indie soft dollars, then proprietary...to treat independent research differently...
- The Fight for Independents: A crackdown on "soft dollars" may threaten the...
- Magazine article from: Financial Planning June 1, 2004 700+ words
...are for, whether soft dollars are buying research...position themselves as independent research firms. MFS has stated...proposals to squeeze soft dollars. Cleland is CEO...end up de-funding independent research." According to...
- Industry Groups Battle Over Soft Dollars.(Mutual Fund Directors Forum)(Alliance...
- Magazine article from: Traders September 1, 2004 700+ words
...group contends that soft dollars inevitably lead to potential...group, the Alliance for Independent Research, warns that the elimination of soft dollars would lead to consequences...case that the use of soft dollars compromises the judgment...
- Independent research firms hurt by reluctance to use soft dollars.(Short...
- Magazine article from: Investment News September 13, 2004 700+ words
...dramatic chill'' in the independent research industry because of...consider getting out of the independent-research business if soft dollars were banned altogether...shifting away from using independent research in favor of Wall Street...
- Soft Peddling: In the rush to clean up mutual funds, a proposed ban on soft...
- Magazine article from: Financial Planning April 1, 2004 700+ words
...as well as independent research. It favors banks...research for soft dollars. Independent research firms and soft...pocketbooks. Independent research firms claim that...approach, to permit soft dollars for both third...
- Soft Dollars Take Back Seat on the Hill.
- Magazine article from: Traders April 1, 2004 700+ words
...weighing up the SEC's take on soft dollars. Indeed, SEC Chairman William...the SEC to outlaw the use of soft dollars for independent research and non-research products...would reform, not abolish soft dollars. The Baker bill, HR 2420...
- An NASD Boost for Soft Dollars.(National Association of Securities Dealers,...
- Magazine article from: Traders Bresiger, Gregory January 1, 2005 700+ words
...basically endorsed the use of soft dollars, some analysts said. Its...nodded approval in the use of soft dollars for independent research," says attorney Lee Pickard...its own task force studying soft dollars, will likely reach the same...