Securities Law

23-102CP - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services [CP Proposed - Lapsed]

Published Date: 2008-01-11
Rescinded Date: 2010-06-30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