Trading Bonds On Commission

Freed, Dan
January 2006
Investment Dealers' Digest;1/30/2006, Vol. 72 Issue 4, p7
Trade Publication
The article reports that regulators and investor advocates are asking money managers to provide more information on how soft dollars are earned and spent in the United States. A mutual fund task force from the National Association of Securities Dealers examined the issue of the use of soft dollars generated through equity trades to pay for fixed-income research in its report in 2004. Meanwhile, the Securities and Exchange Commission is expected to release a guidance on soft dollars in the coming months.


Related Articles

  • financial planning.  // Practical Accountant;Dec2004, Vol. 37 Issue 12, p22 

    The article presents information on the recent development in financial planning of the U.S. The U.S. Securities and Exchange Commission is allowing National Association of Securities Dealers members to make available to their customers an "investment analysis tool" to help evaluate potential...

  • NASD plate full already. Tittsworth, David G. // Pensions & Investments;8/23/1999, Vol. 27 Issue 17, p12 

    Comments on the National Association of Securities Dealers' (NASD) memorandum to the United States Securities and Exchange Commission stating its opinion on regulation of investment advisers and brokers. Differences between investment advisers and broker-dealers; Problems existing at the core...

  • NASD Bids Again To Regulate RIAs. Longo, Tracey // On Wall Street;Feb99, Vol. 9 Issue 2, p24 

    Deals with the move of the United States National Association of Securities Dealers (NASD) to regulate registered investment advisers (RIA). Efforts of state regulators and the Securities and Exchange Commission to hinder the plan of NASD; Secret behind the move of NASD; Factors confusing the...

  • NASD disavows self-regulation plans. Sakelaris, Linda // Pensions & Investments;5/31/1999, Vol. 27 Issue 11, p47 

    Discloses that the National Association of Securities Dealers (NASD) has decided to discontinue plans to create a self-regulating organization for United States investment advisers. US Securities and Exchange Commission's appointment of NASD to create a registration database for investment...

  • Electronic Document Storage: Separating Compliance Reality from Rumors. Day, Jo // Journal of Financial Planning;Sep2007 Supplement, Vol. 20, p6 

    The article discusses compliance requirements for electronic document storage. The Securities and Exchange Commission (SEC) has different compliance requirements than the National Association of Securities Dealers (NASD). Registered Investment Advisors (RIA) are obligated to meet SEC...

  • 10 years ago in the Profession.  // Journal of Financial Planning;Jul2001, Vol. 14 Issue 7, p23 

    Looks at the reintroduction of the Boucher bill in the United States Congress in July 1991 which required financial planning services providers to register as investment advisers. Failure of the bill to gain enough support; Ruling of the Securities and Exchange Commission and the National...

  • FINANCIAL PLANNING.  // Practical Accountant;Mar2007, Vol. 40 Issue 3, p13 

    The article offers news related to financial planning in the U.S. Securities and Exchange Commission has approved rule changes that would enhance the National Association of Securities Dealers (NASD) Code of Arbitration and make it more user-friendly. NASD have approved bylaw changes required to...

  • When disaster strikes.  // Journal of Financial Planning;Jan2005 Supplement, Vol. 18, p14 

    The article discusses disaster planning for financial planners. The author argues that it is critical for financial planners to develop disaster preparedness and business continuity plans. The article discusses how businesses in Florida used disaster planning to successfully weather the 2005...

  • SEC adding to online rules.  // Pensions & Investments;6/24/1996, Vol. 24 Issue 13, p42 

    Reports on the plans of the US Securities and Exchange Commission to issue an interpretive release on investment advisers offering services and providing documents online.


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics