News & Publications
Alliance Releases and Comments
(news files require
04.02.2012—Alliance Comments on Regulatory Notice 12-09- Debt Research Reports Rule
02.02.2010—Guidance to Asset Managers Regarding DOL Form 5500 Schedule C Disclosure Obligations Relating to Research/Commission Arrangements
10.01.2008-- Alliance Comments to Proposed SEC Guidance to Mutual Fund Boards on Investment Adviser Trading Practices
05.16.2008-- Alliance Comments on Amendments to Part 2 of Form ADV - Disclosure of Brokerage Practices
04.25.2008-- Alliance Comments on Amendments to DOL Form 5500 Schedule C
12.05.2006-- Alliance Comments to FSA Consultation Paper 06/18 - Use of Dealing Commission
11.23.2005-- Alliance Response to Request for Comments on SEC Guidance Regarding Client Commission Practices
05.31.2005-- Comments on Consultation Paper 05/5 - Financial Services Authority "Bundled Brokerage and Soft Commission Arrangements"
11.16.2004-- Alliance in Support of Independent Research Applauds NASD Mutual Fund Task Force Report Supporting Use of Independent Research by Mutual Fund Advisers
07.29.2004-- Mutual Fund Directors Forum's Call to End "Soft Dollar" Arrangements Ignores Evidence that Research Arrangements Under the Section 28(e) Safe Harbor Benefit Mutual Fund Investors
02.23.2004-- Alliance Response to SEC Request for Comments on Measures to Improve Disclosure of Mutual Fund Transaction Costs
01.27.2004-- Alliance Letter to SEC Chairman William H. Donaldson Responding to Investment Company Institute Letter to Chairman Donaldson of December 16, 2003
12.16.2003-- Alliance Press Release Addressing Investment Company Institute Proposal to Limit the Ability of Mutual Funds and Other Fiduciary Money Managers to Obtain Independent Research from Broker/Dealers
10.07.2003-- Alliance Comment Letter to U.K. Financial Services Authority Consultation Paper 176 "Bundled Brokerage and Soft Commission Arrangements"
Other Items of Interest
03.31.2004-- Statement of Grady G. Thomas, Jr. Before the Committee on Banking, Housing, and Urban Affairs of the United States Senate
03.30.2004-- Letter from D. Bruce Johnsen and Stephen M. Horan to SEC Chairman William H. Donaldson enclosing Working Paper
02.23.2004-- Stephen M. Horan and D. Bruce Johnsen,
Does Soft Dollar Brokerage Benefit Portfolio Investors: Agency Problem or Solution?
, Working Paper
©2010 The Alliance in Support of Independent Research