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Summary
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 Exchange
Act §28(e) provides a safe harbor
- Allows money managers to use client funds to
purchase brokerage and research services
for their managed accounts
- So called soft dollar arrangements
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Statutes
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Exchange
Act §28(e)
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SEC Interpretive Release 2006
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Interpretive
release 34-54165 7.18.06
Proposal
release 34-52635 10.19.05
Commentary
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Other SEC Releases - Materials
SEC_CODE_REF_0090001192884
Commentary
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Law
firms
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