23-102CP - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services [CP Proposed - Lapsed]
Published Date: | 2008-01-11 |
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Rescinded Date: | 2010-06-30 |
Document(s): |
Concurrently Published:
Table of Contents
PART 1 - INTRODUCTION
1.1 Introduction
1.2 General
PART 2 - APPLICATION OF THE INSTRUMENT
2.1 Application
PART 3 - ORDER EXECUTION SERVICES AND RESEARCH SERVICES
3.1 Definitions of Order Execution Services and Research Services
3.2 Order Execution Services
3.3 Research Services
3.4 Mixed-Use Items
3.5 Non-Permitted Goods and Services
PART 4 - OBLIGATIONS OF ADVISERS AND REGISTERED DEALERS
4.1 Obligations of Advisers
4.2 Obligations of Registered Dealers
PART 5 - DISCLOSURE OBLIGATIONS
5.1 Disclosure Recipient
5.2 Timing of Disclosure
5.3 Adequate Disclosure
5.4 Form of Disclosure