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AMENDMENT NO. 1 To 28E Agreement For AN INTERGOVERNMENTAL AGREEMENT BY HARDIN COUNTY IOWA, FRANKLIN COUNTY IOWA, MARSHALL COUNTY IOWA AND STORY COUNTY IOWA, FOR THE SHARING OF MENTAL HEALTH ADVOCATE

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Fill out the form with accurate and detailed information about the agreement.

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Individuals or companies involved in an agreement that falls under the requirements of a 28e search.

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What is 28e agreement search?

28e agreement search refers to the process of searching for and documenting any 28e agreements that your organization has entered into with external research providers in accordance with SEC regulations.

Who is required to file 28e agreement search?

Investment advisers and brokers who have entered into 28e agreements with external research providers are required to file 28e agreement search.

How to fill out 28e agreement search?

To fill out 28e agreement search, you need to document all 28e agreements, including the details of the research services provided and the amount of soft dollars paid.

What is the purpose of 28e agreement search?

The purpose of 28e agreement search is to ensure transparency and compliance with SEC regulations regarding the use of client funds for research services.

What information must be reported on 28e agreement search?

The information reported on 28e agreement search must include details of the research services provided, the amount of soft dollars paid, and any conflicts of interest that may arise.

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