Tag: Soft Dollars/Trade Execution

SunGard Enhancing Brass Trading Platform

October 27, 2008 (PLANSPONSOR.com) - SunGard has enhanced its Brass order management and direct market access platform by integrating multi-currency, multi-access trading capabilities and compliance services.

Ameriprise Fined for Directed Brokerage Violations

December 1, 2005 (PLANSPONSOR.com) - NASD has hit Ameriprise Financial Services with a $12.3 million fine over allegations the firm took directed brokerage payments to give preferential treatment to certain fund companies.

SEC Invites Soft Dollar Regulatory Input

October 20, 2005 (PLANSPONSOR.com) - The US Securities and Exchange Commission (SEC) is seeking comments from the investing public over its latest proposal to further regulate money managers' soft dollar payments.

DTCC to Stay Open Despite Reagan Mourning

June 7, 2004 (PLANSPONSOR.com) - The company that handles trade processing for many 401(k) plans, among other investment customers, will remain open Friday despite the broader markets being closed.