AccessMyLibrary provides FREE access to over 30 million articles from top publications available through your library.
Close
Create a link to this page
Copy and paste this link tag into your Web page or blog:
<a href="http://www.accessmylibrary.com/coms2/summary_0286-17634283_ITM" title="Facts and information about SEC Clarification on Soft Dollars Said to Level Playing Field: Independent research more on par with bulge-bracket firms.(Securities and Exchange Commissions)">SEC Clarification on Soft Dollars Said to Level Playing Field: Independent research more on par with bulge-bracket firms.(Securities and Exchange Commissions)</a>
Close
Set up an RSS feed that alerts you when new articles from Securities Industry News are available.
Frequently asked questions about RSS feeds
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 ...
Related articles from newspapers, magazines, journals, and more
For more facts and information, see all results
- 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...
- A Better Value? Independent research looks beyond soft dollars to an unbundled...
- News wire article from: The America's Intelligence Wire December 8, 2004 700+ words
...future of independent research is tied up...probe of soft dollars, which account...of the independent research industry...paid for in soft dollars, is priced...on their independent research. Even though...
- 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 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.
- News wire article from: The America's Intelligence Wire January 25, 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...
- 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...
- Bring it On! Algos and Soft Dollars Offer Clean Audit Trail.
- Magazine article from: Traders Leone, Dave September 1, 2005 700+ words
...been a rocky few years for soft dollars, but the clouds seem to...seems to be encouraging "independent research." This has been a prominent...regulators were clear: With no soft dollars, a true independent research community would be at risk...
- STA Fights for Soft Dollars.(Securities Transfer Association)(Brief Article)
- Magazine article from: Traders November 1, 2004 700+ words
...elimination of soft dollars. The fact is...investors to secure independent research and efficient...elimination of soft dollars would retard the independent research movement. The...costs paid for by soft dollars to a mutual fund...
Source: HighBeam Research, SEC Clarification on Soft Dollars Said to Level Playing Field:...