Flexible Program
Credit a portion of each trade executed towards your soft dollar account.
Consolidated Reporting
A single, consolidated monthly or quarterly statement for complete transparency.
Reduced Administrative Burden
Eliminate the complexity of managing multiple soft dollar relationships.
Client Focused
Designed to support your research needs and investment objectives.
Regulatory Compliance
For further information, see Securities Exchange Act of 1934 – Section 28(e) Research Services in Exchange For Brokerage in Regulatory Disclosures.
The section provides a safe harbor to investment managers who use the commission dollars of their advised accounts to obtain investment research and brokerage services (“soft dollar” research) by permitting such persons, under certain circumstances, to “pay up” for such services received from broker-dealers.
