Substantive Research LTD

After 5 years of no-action letters and extensions, the SEC has announced that from July 2023 US providers will no longer be able to accept hard dollar payments from asset managers for research (with the exception of those registered as investment advisors)

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https://lnkd.in/e2BR-v2V

SEC Staff Pulls Rug Out From Under ‘Hard Dollar’ Research Arrangements

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