Whole Section

  • 1. Introduction

    • 1.1

      Rule 4.38.1 says that a Trading Member and its Trading Representatives may receive goods and services from a broker for directing business to the broker under certain conditions.

      Added on 3 June 20193 June 2019.

    • 1.2

      Rule 4.38.2 says that a Trading Member may pay for goods and services to a customer for directing business to the Trading Member under certain conditions.

      Added on 3 June 20193 June 2019.

    • 1.3

      This Practice Note provides guidance on the types of goods and services that do not qualify for soft dollar receipts or payments.

      Added on 3 June 20193 June 2019.