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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.
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 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 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 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.
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.
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.
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.
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.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
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.
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.
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.
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.
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
BusinessWeek May 16, 2005 Amey Stone	Still Outside Looking In Independent stock analysts hoped to cash in on the Spitzer pact. What went wrong?
BusinessWeek June 28, 2004 Emily Thornton	Mutual Funds: The Cost Of Full Disclosure With Securities & Exchange Commission Chairman William H. Donaldson pushing for new rules aimed at providing greater safeguards for mutual-fund investors, brokerages worry that implementing them will cost billions of dollars.
CFO May 1, 2004 Roy Harris	Raiding the Returns Hidden costs and high fees eat into 401(k) plan benefits.
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 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?
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
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.
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.
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.
Registered Rep. January 23, 2006 Kevin Burke	NASD, NYSE Propose Stiffer Rule on Entertainment Spending With Fidelity Investment brokers being linked with stories of drugs, prostitution and other forms of high-flying partying, regulators are proposing stricter rules to rein in spending on longstanding methods of winning business.
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.
Registered Rep. February 17, 2005 John Churchill	NASD Charges American Funds with Directed Brokerage Violation Saying it's just as impermissible to make directed brokerage payments as it is to receive them, the NASD charged American Funds---one of the country's most reputable asset managers---with paying kickbacks to brokerages for selling its funds.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
Registered Rep. November 18, 2003 Will Leitch	Senate Committee Hears Testimony about Fund Industry Each day seems to bring more news from the mutual fund industry. And industry reform is in the air. The climate is such that on Capitol Hill today even the mutual fund industry's lobbying group had to eat some crow.
BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
Investment Advisor January 2007 Kara Stapleton	News & Products Bank of New York and Mellon Financial Corporation announced plans to merge... The brokerage firm Jefferies & Co. will pay $9.7 million to settle SEC charges... New York Attorney General Eliot Spitzer has sued UBS... etc.
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.
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.
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. 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 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.
The Motley Fool October 27, 2004	Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings.
Registered Rep. September 1, 2005 Karen Donovan	Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street.
Registered Rep. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.
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?
BusinessWeek April 19, 2004 Tergesen & Young	Index Funds Aren't All Equal High costs and managers who hold cash too long -- or pay inflated commissions -- can shave returns. So it pays to compare
Financial Advisor May 2006 Andrew Gluck	New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements.
Registered Rep. May 1, 2004	Arbitrary Decisions Q & A on work-related ethical quandaries for the investment professional.
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.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
Investment Advisor February 1, 2011 Bob Clark	An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act.
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?
BusinessWeek September 5, 2005 Anne Tergesen	Slow To Reveal The Deals Sure, brokerage firms and fund companies are disclosing more about their financial dealings. Dig deep enough, though, and you may unearth more questions than answers.