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EFTA Document EFTA01372465
Title Matchefta-efta01372465
Case Filesd-10-EFTA01372465Dept. of JusticeEFTA Document EFTA01372465
Unknown1p
Case File
sd-10-EFTA01372465Dept. of JusticeEFTA Document EFTA01372465
Other
(2) If "yes" to G.(1) above, are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934? H. (1) Do you or any related person, directly or indirectly, compensate any person that is not an employee for client referrals? (2) Do you or any related person, directly or indirectly, provide any employee compensation that is specifically related to obtaining clients for the firm (cash or n
Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01372465
Pages
1
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0
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