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Soft Dollar Arrangements

Instructions:

Choose an answer and hit 'next'. You will receive your score and answers at the end.

question 1 of 3

Soft Dollars include payments for which of the following?

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1. Who bears the cost when using soft dollars?

2. A soft dollar conflict of interest occurs when

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About This Quiz & Worksheet

To pass this quiz on soft dollar agreements, you'll need to be familiar with Soft Dollar Standards. You'll also need to be aware of potential risks investors may face when using soft dollars. The quiz can be taken at any time.

Quiz & Worksheet Goals

You'll be tested on the following topics:

  • What to pay using soft dollars
  • Party responsible for costs when using soft dollars
  • Soft dollar conflict of interest
  • Biggest risk to investors using soft dollars
  • Goal of Soft Dollar Standards

Skills Practiced

  • Knowledge application - use your knowledge to answer questions about who's responsible for costs when using soft dollars
  • Information recall - access the knowledge you've gained regarding what to pay using soft dollars
  • Interpreting information - verify that you can read information regarding a soft dollar conflict of interest and interpret it correctly

Additional Learning

Further your understanding of this topic with a related lesson titled Soft Dollar Arrangements. Here's what you'll find:

  • Soft dollars vs. management fees
  • Securities Exchange Commission Act
  • Costs of research or bundled services
  • Structure of soft dollars
  • CFA Code of Ethics and Standards of Professional Conduct
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