Division of Trading and Markets
Client Commission Practices

• No-Action Letter: Capital Institutional Services, Inc. (April 13, 2007)
   
• No-Action Letter: Goldman, Sachs & Co. (January 17, 2007)
   
• Commission Guidance Regarding Client Commission Practices under Section 28(e) of the Securities Exchange Act of 1934 (July 18, 2006)
  File No.: S7-13-06
  Comments Due: September 7, 2006
  Comments received are available for this proposal.
   
• Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 (October 2005)
  File No.: S7-09-05
  Comments Due: November 25, 2005
  Comments received are available for this proposal.
   
• Commission Guidance on the Scope of Section 28(e) of the Exchange Act (December 2001)
   
• Soft Dollars: OCIE Inspection Report (September 1998)

http://www.sec.gov/divisions/marketreg/ccpract.htm