The term “soft dollar” expenditures refers to funds taken out of brokerage fees and used to purchase research-related services for the adviser. According to The Institutional Investor (December 2005, ...

Roel Campos, commissioner at the Securities and Exchange Commission, would like to revive the soft dollar disclosure regime the SEC briefly flirted with in 1995. Roel Campos, commissioner at the ...

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 ...

The Securities and Exchange Commission’s new soft dollar disclosure rules, part of a proposed revision of Form ADV, will have an impact on relations between investment advisers and their customers, ...

NASD EVP Elisse B. Walter has a few words for mutual fund industry professionals who believe that the current regulatory atmosphere will soon pass and the good old days of lessened scrutiny will ...

Investors have intensely focused on expense ratios over the past decade, overwhelmingly choosing to invest in mutual funds with the leanest costs. Despite the fact that investors care so intensely ...

The recent terse exchange between the Financial Planning Association (FPA) and the Australian Investors Association (AIA) revealed some of the deeper held suspicions relating to soft dollar disclosure ...