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.