The SEC has set rules and guidelines about the use of soft dollars. Additional resources can be found through the SEC and the following organizations.

 

 

  Organization  Resource
  U.S. Securities and Exchange Commission    Inspection report
  Financial Services Authority  Policy statement and reports
  Securities Industry Association  SIA best practices
  Security Traders Association  STA comment letter
  Ontario Securities Commission  Best Executon and Soft Dollar Arrangements

 

 

 

 

 

 

 

 

 

 

 

 

 


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