23-102 Use of Client Brokerage Commissions
| Document | Published | Effective | |
|---|---|---|---|
| 23-102 |
Use of Client Brokerage Commissions [NI - Rescinded]
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|
2015-04-20 | 2015-04-20 |
| 23-102 |
Use of Client Brokerage Commissions [NI - Rescinded]
PDF
Download
|
2015-01-11 | 2015-04-20 |
| 23-102 |
Use of Client Brokerage Commissions [NI Advance Notice - Lapsed]
PDF
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|
2009-10-06 | 2010-06-30 |
| 23-102 |
Use of Client Brokerage Commissions [NI - Rescinded]
PDF
Download
|
2010-06-28 | 2010-06-30 |
| 23-102CP |
Use of Client Brokerage Commissions [CP Advance Notice - Lapsed]
PDF
Download
|
2009-10-06 | 2010-06-30 |
Advance Notices
| Document | Published | Effective | |
|---|---|---|---|
| 23-102 |
Use of Client Brokerage Commissions [NI Amendment Advance Notice - Lapsed]
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|
2014-10-16 | 2015-01-11 |
Proposed Instruments or Policies
| Document | Published | Effective | |
|---|---|---|---|
| 23-102 |
Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (“Soft Dollar” Arrangements) [NI Proposed - Lapsed]
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|
2006-07-21 | --- |
| 23-102 |
Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services [NI Proposed - Lapsed]
PDF
Download
|
2008-01-11 | --- |
| 23-102CP |
Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (“Soft Dollar” Arrangements) [CP Proposed - Lapsed]
PDF
Download
|
2006-07-21 | --- |
| 23-102CP |
Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services [CP Proposed - Lapsed]
PDF
Download
|
2008-01-11 | --- |