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Inspection Report on the Soft Dollar Practices of Broker-Dealers, Investment Advisers and Mutual Funds
U.S. Securities and Exchange Commission [SEC] 
[Official Guidance] Sept. 28, 1998 "Most products and services obtained by advisers with soft dollars fall within the definition of research -- they provide lawful and appropriate assistance to the adviser in the performance of its investment decision-making responsibilities. Thus, the vast majority of products and services received by advisers are within the safe harbor established by Section 28(e) of the Exchange Act." MORE >> |
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