Soft Dollar Disclosure on the Table
Traders Magazine, July, 2008 by 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.
Included in the second section of the document is space for money managers to address their usage of client assets to pay commissions to their brokers. The SEC proposed changes to this section and 18 others in an attempt to...
Most Recent Business Articles
- Multiple criteria evaluation and optimization of transportation systems
- Multi-criteria analysis procedure for sustainable mobility evaluation in urban areas
- A two-leveled multi-objective symbiotic evolutionary algorithm for the hub and spoke location problem
- Multi-criteria analysis for evaluating the impacts of intelligent speed adaptation
- The development of Taiwan arterial traffic-adaptive signal control system and its field test: a Taiwan experience
Most Recent Business Publications
Most Popular Business Articles
- 7 tips for effective listening: productive listening does not occur naturally. It requires hard work and practice - Back To Basics - effective listening is a crucial skill for internal auditors
- FAS 109: a primer for non-accountants - Financial Accounting Standards Board's "Statement 109: Accounting for Income Taxes"
- LIFO vs. FIFO: a return to the basics
- Too Young to Rent a Car? - 25-years-old the minimum age for car renting - Brief Article
- Design a commission plan that drives sales - Sales Commissions
Presented by American Express