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BC-2.10.18

Before an investment firm licensee enters into a transaction for a client, either directly or indirectly, with or through the agency of another person, under a soft dollar agreement which the investment firm licensee has, or knows that another member of its group has, with that other person, it must disclose to its client:

(a) The existence of the soft dollar agreement; and
(b) The investment firm licensee's or its group's policy relating to soft dollar agreements.
Amended: January 2007