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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 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
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
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. |
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. |
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
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. |
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. |
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. |
Bank Technology News
September 2004
Michael Sisk |
Trading: Direct Execution Goes Mainstream The need to offer direct execution is all the greater now that the New York Stock Exchange is pushing ahead with it's Direct Plus program. |
The Motley Fool
February 6, 2008
Mary Dalrymple |
Marry a Broker You shouldn't settle for a broker just because of cheap rates. Look beyond the trading commissions and commit to a broker for the long haul. |
The Motley Fool
August 30, 2010
Dan Caplinger |
Who You Trade With Does Matter It's easy to think that one broker fits all, but nothing could be further from the truth. Take the time to get to know your brokerage options. Only then will you have the knowledge base to make your best choice. |
Registered Rep.
July 2, 2003
David A. Gaffen |
Morningstar Editors Differ on Fund Disclosures Among the proposed revisions to mutual fund disclosure rules, the one relating to "soft-dollar" arrangements between fund companies and brokerages is touching off particularly spirited debate. |
The Motley Fool
February 26, 2009
Selena Maranjian |
The Upside of Broker Fees The more frequently you trade, the more you'll pay your broker in commission fees. But many people may not know that factoring in the cost of those commissions can reduce your capital gains -- and cut the taxes you owe. |
The Motley Fool
November 2, 2010
Dan Caplinger |
This Will Cause the Next Financial Crisis Pension funds are getting desperate, turning to risky strategies to make minimal cash. |
Wall Street & Technology
February 14, 2006
Cory Levine |
Morris to Cohead BNY Program Trading Bank of New York subsidiary BNY Brokerage promoted Derek Morris from SVP of program trading sales to cohead of the program trading business. |
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. |
CFO
June 1, 2008
David M. Katz |
Better Safe Than Underfunded Some pension sponsors are hitching their investments to actual pension liabilities using bonds rather than aiming for huge returns. |
Wall Street & Technology
September 19, 2006
Tim Clark |
The Quiet Market Explosion While most of the industry has been focusing on exotic investment products and emerging markets, the securities lending market has boomed into a $16 trillion business. But with rapid growth comes substantial risk. |
Wall Street & Technology
July 26, 2007
Maria Wakem |
Christopher Rogers Helps Instinet Expand Globally Here, the financial firm's CTO discusses past work experiences, what's next for financial technology, 2008 initiatives, and his top three current IT projects. |
The Motley Fool
September 8, 2006
Ryan Popple |
Beware the Botched 401(k) While 401(k)s offer more control and impressive tax benefits, they also chronically underperform managed pension funds. We are going to need our 401(k)s for our future financial security, and we have to do a better job of managing them. |
Wall Street & Technology
November 30, 2006 |
Keeping Tabs Nicholas Colas joined BNY ConvergEx Group... Jeffrey Smith joined ADP Brokerage Services Group... Marianne Brown has been named president and CEO of trade processing solutions vendor Omgeo... etc. |
