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Article

Issues in Mutual Fund Soft-Dollar Trades

John A. Haslem
The Journal of Index Investing Fall 2011, 2 (2) 76-85; DOI: https://doi.org/10.3905/jii.2011.2.2.076
John A. Haslem
is Emeritus Professor of Finance in the Robert H. Smith School of Business at the University of Maryland in College Park, MD.
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  • For correspondence: jhaslem@rhsmith.umd.edu
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Abstract

Mutual fund use of “soft-dollar trades” has important implications for regulators, fund shareholders, fund advisers, and brokers (broker–dealers). Soft-dollar trades create higher costs and conflicts of interest between fund advisers and their shareholders. This article examines some of the current regulations involving mutual fund soft-dollar trading as well as the resulting costs concluding with suggestions for better disclosure.

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The Journal of Index Investing: 2 (2)
The Journal of Index Investing
Vol. 2, Issue 2
Fall 2011
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Issues in Mutual Fund Soft-Dollar Trades
John A. Haslem
The Journal of Index Investing Aug 2011, 2 (2) 76-85; DOI: 10.3905/jii.2011.2.2.076

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Issues in Mutual Fund Soft-Dollar Trades
John A. Haslem
The Journal of Index Investing Aug 2011, 2 (2) 76-85; DOI: 10.3905/jii.2011.2.2.076
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  • Article
    • Abstract
    • THE SAFE HARBOR
    • SOFT-DOLLAR COMMISSIONS
    • SOFT-DOLLAR TRADE DISCLOSURE
    • SOFT DOLLARS AND AGENCY CONFLICTS
    • CFA INSTITUTE
    • SOFT-DOLLAR TRADING COSTS
    • CONCLUSION
    • REFERENCES
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  • PDF (Subscribers Only)

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  • Normative Listing and Description of Mutual Fund Transparent and Opaque Fees and Expenses
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  • Mutual Fund "Soft-Dollar" Arrangements: Analysis * and Findings
  • Negative General Effects on Mutual Fund Shareholder Performance
  • Mutual Fund Markets Are Imperfectly Competitive
  • Mutual Fund Total Cost Construct
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More in this TOC Section

  • Editor’s Letter
  • Editor’s Letter
  • Editor’s Letter
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