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Soft dollar
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51	INITIAL DECISION RELEASE NO. 649 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-05 11:16:57 Financial markets Financial services Institutional investors Soft dollar Short Day trading Hedge fund Clearing Financial economics Finance Investment
52	CSA Staff Notice: 31-334 – CSA Review of Relationship Disclosure Practices Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-07-18 09:49:31 Money Financial economics Exempt market dealer Investment Policy Statement Soft dollar Conflict of interest Franchising Finance Business Investment
53	J.S. Oliver Capital Management, L.P., et al. Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-08-30 11:22:48 Investment Financial services Soft dollar Investment Advisers Act Registered Investment Advisor Hedge fund Financial adviser Prime brokerage Securities Exchange Act Financial economics Finance Business
54	Letter From William T. George to Elizabeth M. Murphy, Secretary, U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2011-06-16 11:24:58 Financial regulation Short selling U.S. Securities and Exchange Commission Financial system Christopher Cox Short Securities Exchange Act Investment banking Soft dollar Finance United States securities law Business
55	Letter From William T. George to Elizabeth M. Murphy, Secretary, U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2011-06-16 10:26:49 Soft dollar Financial economics U.S. Securities and Exchange Commission Financial adviser Investment Advisor Finance Business Money
56	Microsoft Word - Cover memo.docx Add to Reading List Source URL: assetplanningcorp.com Language: English - Date: 2014-04-15 12:34:28 Business Financial services Investment banks Financial adviser Charles Schwab Corporation Wealth management Registered Investment Advisor Soft dollar UBS Financial economics Investment Finance
57	CSA Staff Notice[removed]CSA Review of Relationship Disclosure Practices July 18, 2013 Introduction Staff from the Canadian Securities Administrators in various provinces (CSA staff or we) reviewed the relationship disclo Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-07-18 10:13:59 Financial economics Exempt market dealer Investment Policy Statement Soft dollar Conflict of interest Franchising Finance Business Money
58	National Instrument ____ – Use of Commissions on Brokerage Transactions as Payment for Goods or Services other than Order Exec Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:46 Investment Security Money Economics Financial services Soft dollar Financial adviser Finance Business Stock market
59	OCC[removed]Attachment[removed]FR 41978 Add to Reading List Source URL: www.ots.treas.gov Language: English - Date: 2014-09-28 08:52:02 Financial services United States securities law 76th United States Congress Soft dollar U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Merrill Lynch Securities Exchange Act Financial economics Investment Finance
60	OCC[removed]Attachment[removed]FR 16004 Add to Reading List Source URL: www.ots.treas.gov Language: English - Date: 2014-09-28 08:51:22 Financial services Financial markets United States securities law Securities Registered Investment Advisor Soft dollar Investment Advisers Act Financial adviser U.S. Securities and Exchange Commission Finance Business Financial economics

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