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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.
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 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 September 23, 2005 Anthony Guerra	Follow the Leader The U.K.'s Financial Services Authority (FSA) finally issued its soft-dollar guidelines. Will the SEC take a page out of what the FSA has done? Probably.
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.
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.
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.
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 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 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 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.
Financial Planning March 1, 2007 Mike Suppappola	Compliance Tips New Soft Dollar Rules: Is Your Firm Ready?
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.
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. 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?
The Motley Fool October 27, 2004	Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings.
The Motley Fool August 18, 2004 Tim Beyers	Janus Loses $5 Billion Withdrawal woes continue to plague the mutual fund manager.
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.
The Motley Fool February 18, 2004 Robert Brokamp	The Fund Fees You Don't See A study shows that almost half of shareholder costs are undisclosed or nearly impossible to find. While the recent mutual fund scandals raise serious questions about whom we should trust with our money, the actual dollar cost to most individual investors isn't that high. There are far more significant ways funds siphon off our dollars. And they're just as hidden.
Investment Advisor June 2008 Melanie Waddell	A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds
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.
Financial Planning April 1, 2005	News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc.
Registered Rep. February 11, 2004 John Churchill	Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators.
Investment Advisor April 2006 Elizabeth Festa	A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors.
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.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Financial Planning February 1, 2005	News Digest Sports Consortium Launched... ERISA Training Online... Morningstar IPO Still Coming... Online Seminar Kit Available From Fidelity... etc.
Registered Rep. March 1, 2005 Chris O'Leary	The High Cost of Admission To justify their existence in client portfolios, funds of funds need to post double-digit returns in order to really experience some net (read: after-fee) gains. And 2004 didn't deliver on these promises.
Financial Advisor May 2008 Michael C. Keenan	The Elephant In The Living Room The transaction costs charged by mutual fund managers are often a significant, if clandestine, part of the fund business, but some Washington lawmakers are trying to change that.
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.
The Motley Fool August 26, 2004 Robert Brokamp	My Fund Manager Ate My Retirement! How much of your investment is consumed by your mutual fund's expenses?
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.
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.
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.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
Financial Advisor March 2005 Cohen & Overgard	So Many Hedge Funds ... So Little Time Similar to concerns about the myriad of mutual fund choices, investors face a similar dilemma about how to choose a successful hedge fund. Thus, selecting a hedge fund can be a daunting task, but not an impossible one for the educated investor.
The Motley Fool October 15, 2010 Bill Barker	Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee.
Investment Advisor September 2006	Upgrades SEC Commissioner Christopher Cox said August 7 that the SEC will not appeal the D.C. Circuit Court of Appeals' decision in Goldstein v. SEC... According to Barclays Global Investors, exchange traded fund flows surged in June... etc.
The Motley Fool January 10, 2007 Dan Caplinger	You Can Start Small You don't need a big bankroll to start investing. A wide range of options are available for investors of modest means, so that you can take what you've already saved and get started.
The Motley Fool September 5, 2006 Dan Caplinger	Get Your Two Cents' Worth Mutual funds are a great way for the smallest of investors to get in the game.
Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
The Motley Fool February 11, 2010 Dan Caplinger	Roundtable: Will Free ETFs Change Your Life? Several top experts in personal finance weigh in with their thoughts on how you can best take advantage of changes in ETF fees.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
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.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
The Motley Fool April 16, 2004 Whitney Tilson	Funds' Dirty Little Secrets Discover more ways hedge funds and mutual funds inflate their profits at the expense of investors.
BusinessWeek May 16, 2005 Amey Stone	Still Outside Looking In Independent stock analysts hoped to cash in on the Spitzer pact. What went wrong?
Financial Planning October 1, 2010 Donald B. Trone	Last Step: Monitor A closer look at the final step in the investment management process: Monitor. Plus, clues about when it might be time to fire your money manager.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.