Nexus Administrators, Inc.
ftwilliam.com / Wolters Kluwer
The Ryding Company
Ubiquity Retirement + Savings
Benefit Comply, LLC
DWC - The 401(k) Experts
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|SEC Guidance on Soft Dollars Safe Harbor (PDF)|
White & Case LLP
Aug. 22, 2006
5 pages. Excerpt: In a speech on July 31, SEC Commissioner Roel C. Campos urged investment managers to 'err on the side of caution' in determining whether a service is 'research' within the scope of the safe harbor. He emphasized the fact that 'the context in which we are analyzing services is a safe harbor from a fiduciary duty -- not an entitlement.'
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