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28E Agreement FOR OFFICE USE ONLY: Matt Schultz Secretary of State of Iowa FILED M505097 3/29/2012 2:05:28 PM PLEASE READ INSTRUCTIONS ON BACK BEFORE COMPLETING THIS FORM Item 1. The full legal name,
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The 28e agreement - SCRAA (Section 28(e) of the Securities Exchange Act of 1934, as amended) allows investment advisers to execute transactions that may cause the adviser to receive a thing of value, such as brokerage or research services, as long as the adviser determines that the commission or rate paid is reasonable for the services provided.
Investment advisers are required to file 28e agreements - SCRAA if they engage in transactions that may result in the receipt of a thing of value, such as brokerage or research services.
To fill out a 28e agreement - SCRAA, investment advisers must provide detailed information about the transactions, the value received, and the justification for determining that the commission or rate paid is reasonable for the services provided.
The purpose of the 28e agreement - SCRAA is to ensure transparency and accountability in the execution of transactions by investment advisers and to prevent conflicts of interest.
The information reported on a 28e agreement - SCRAA includes details of the transactions, the value received, and the justification for determining that the commission or rate paid is reasonable for the services provided.
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