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Wall Street & Technology January 24, 2006 Anthony Guerra	Hard Times for Soft Dollars Changes to soft dollar practices are of interest to both sides of the Street since the tightening of the SEC's safe harbor clause -- which details what may be paid for with soft dollars -- will require the buy side to shell out hard dollars for more goods and services.
Wall Street & Technology April 26, 2005 Ivy Schmerken	Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research.
Wall Street & Technology March 26, 2004 Ivy Schmerken	Regulators Play Hardball with Soft Dollars Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology.
Wall Street & Technology September 20, 2006 Tim Clark	A Hard Act to Follow Amid dwindling commissions and a resurgence in the use of soft dollars, commission recapture is becoming harder to quantify for financial services firms.
Wall Street & Technology August 27, 2004 Ivy Schmerken	Bracing for Disclosure of Soft Dollars The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research.
Financial Planning March 1, 2007 Mike Suppappola	Compliance Tips New Soft Dollar Rules: Is Your Firm Ready?
The Motley Fool July 14, 2006 Alex Dumortier	SEC Soft on Soft Dollars The SEC clarifies what acceptable practice is when it comes to soft dollars. If you are a mutual fund or hedge fund investor, you'd be well advised to check your investment managers' policy regarding the use of soft dollars.
Registered Rep. August 1, 2006 Kevin Burke	SEC Draws Hard Line on Soft Dollars After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars.
The Motley Fool March 19, 2004 Whitney Tilson	The Disgrace of Soft Dollars Massachusetts Financial Services Co. (MFS), the oldest and 11th-largest mutual fund company, announced this week that it has stopped paying brokers in "soft dollars." I can hear the yawns across America, but this is an important issue because investors are being bilked out of billions.
Wall Street & Technology January 24, 2006	Table Set for Soft Dollar Software Growth New regulations in the United States and Europe are leading to heightened awareness of the largely unexplored commission-management software industry -- a market primed for major growth.
Financial Planning January 1, 2006 Jane Worthington	Soft Dollars: The SEC's New Guidelines The revised SEC interpretation of its safe harbor provision in October 2005 ended months of speculation among money managers as to whether soft dollars can still be used to purchase investment research.
Wall Street & Technology November 18, 2005 Larry Tabb	The Sins of the Few The equity research model is not only broken, it is destroyed. In trying to clean up the research process, we have thrown out the baby with the bath water.
Wall Street & Technology February 21, 2007 Ivy Schmerken	Brokers Back CSAs to Help Buy Side Achieve Best Execution and Pay Research Providers In search of best execution, buy-side firms tap brokers' new commission-sharing arrangements to pay for valuable research.
Registered Rep. August 1, 2004 Will Leitch	A Soft Idea A new study asked CIOs at 72 asset management firms what they thought about the desirability of continuing to pay soft dollars, and whether they thought it was "feasible" to eliminate the practice.
Financial Advisor October 2004	SBPlanner Develops Bond Analysis Tool Advisors can use The Platinum Guru to help their clients... MassMutual announced a new Portfolio Audit and Account Review program for agents... Hedge Fund Evaluations... etc.
Wall Street & Technology August 22, 2007 Ivy Schmerken	Goldman Sachs and Other Brokers Develop Alternative Research Platforms to Advise Buy-Side As the buy-side unbundles the cost of research and executions, brokers are partnering with alternative research providers. Could it cannibalize their own proprietary research?
Bank Technology News November 2004 Shane Kite	Trading: Direct Execution Players Get Beefy Banks and brokers are stocking up on tech and management tools, bundling direct access with algorithmic trading, as the industry gets more competitive than ever.
BusinessWeek November 24, 2003 Kerry Capell	Britain: Reform Fever Hits The City, Too Regulators want to end the cozy ties between fund managers and brokers.
The Motley Fool December 8, 2005 Tom Taulli	Fidelity Soft No More Payment via soft dollars is an age-old practice on Wall Street, but its days may be numbered. In fact, this week, Fidelity indicated that it will now pay for mutual fund research from Lehman Brothers. This is good for investors.
Wall Street & Technology June 28, 2005	The Next Big Thing Four analysts predict what shape they believe the future landscape of financial services technology will take.
Financial Planning April 1, 2011 Donald B. Trone	Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.
Registered Rep. August 1, 2004 Will Leitch	The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
Registered Rep. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
Wall Street & Technology March 22, 2005 Maria Santos	Different Sides of Compliance Compliance experts from both the buy side and sell side share their firms' top priorities for 2005 and technology's role in achieving them.
Registered Rep. June 29, 2004 Will Leitch	Hard Questions at Soft-Dollars Conference Most of the conference's attendees, particularly smaller firms who have come to rely on the "soft" payments, were there to find out one thing: Can the practice be saved?
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Investment Advisor May 1, 2011 Bob Clark	The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
Bank Systems & Technology July 5, 2004 Ivan Schneider	SEC to Banks: Selling Securities? Get a License Industry convergence slowed by multiple regulators and accounting system limitations.
Wall Street & Technology July 1, 2005 Ivy Schmerken	The New Sell-Side Trader: Execution Consultant Brokers are morphing into execution consultants to advise the buy side on selecting algorithms and measuring performance. But how will the sell side reinvent the institutional sales trader?
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Registered Rep. August 1, 2004 Will Leitch	No Soft Dollars? A Hard Pill To Swallow Attendees of the SIA Soft Dollars and Institutional Brokerage Conference seek to find if the soft-dollar payments practice in the brokerage industry can be saved.
Wall Street & Technology November 29, 2004 Ivy Schmerken	Want an Algorithm With That? Major brokerage houses are franchising their algorithmic trading strategies to smaller firms that are feeling pressure to offer the service.
Financial Advisor December 2009 Sherri Scordo	Frontline News Financial sector news: Financial Services Overhaul Getting Closer... McCann Making Mark At UBS... Main Street Securities B-D Now With National Planning... Small B-Ds Could Face Large Audit Costs... more...
Investment Advisor October 2010 Melanie Waddell	Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.
Investment Advisor April 2006 Elizabeth Festa	A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors.
BusinessWeek May 20, 2010	Tricks of the Trade The evolution of men and machines in the stock market.
Registered Rep. August 18, 2004 Will Leitch	SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Wall Street & Technology June 29, 2005 Ivy Schmerken	Reinventing the Relationship Technology and regulatory scrutiny have placed pressure on the buy-side traders to figure out how much it is paying for executions.
Investment Advisor March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Wall Street & Technology February 4, 2005 Ivy Schmerken	Reg NMS Tops the CIO Agenda The regulation to modernize the National Market System is shaping up as the single most important issue that chief information officers of buy-side and sell-side firms will focus on in 2005.
Registered Rep. December 1, 2005 Andrew Osterland	Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes.
CFO February 1, 2005 Ronald Fink	Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital.
Registered Rep. April 8, 2005 John Churchill	`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on.