History of 23-102 Use of Client Brokerage Commissions

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Document Effective Rescinded Format
23-102 Use of Client Brokerage Commissions [NI - Rescinded] 2015-04-20 2017-02-01
23-102 Use of Client Brokerage Commissions [NI - Rescinded] 2015-01-11 2015-04-20
23-102 Use of Client Brokerage Commissions [NI - Rescinded] 2010-06-28 2015-01-11

Advance Notices

Document Published Lapsed Format
23-102 Use of Client Brokerage Commissions [NI Amendment Advance Notice - Lapsed] 2014-10-16 2015-01-11
23-102 Use of Client Brokerage Commissions [NI Advance Notice - Lapsed] 2009-10-06 2010-06-30
23-102CP Use of Client Brokerage Commissions [CP Advance Notice - Lapsed] 2009-10-06 2010-06-30

Proposed Instruments or Policies

Document Published Lapsed Format
23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services [NI Proposed - Lapsed] 2008-01-11 2010-06-30
23-102CP Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services [CP Proposed - Lapsed] 2008-01-11 2010-06-30
23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (“Soft Dollar” Arrangements) [NI Proposed - Lapsed] 2006/07/21 ---
23-102CP Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (“Soft Dollar” Arrangements) [CP Proposed - Lapsed] 2006-07-21 ---