US Regulators Ask Fund Managers For Fuller Disclosure On Soft Dollars
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WASHINGTON--By the end of the summer, the US Securities and Exchange Commission will have requested investment managers to give more detailed disclosure than they have in the past regarding soft dollar agreements with their brokers. The new guidelines have been pending for at least three years, and have been expected since a series of "sweep exams" SEC officials conducted of investment managers and brokers in early 1997. Since then, regulators have continued to study the issue, and as far back
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