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When a mutual fund or an investment adviser earns these, they can be redeemed with disclosure for services such as: Brokerage services, quotation services, portfolio and securities analysis software, research reports, analyses, and advice, trade analytics, advice on market color and execution strategies, market / financial / economic data, and seminar registration fees.

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1. When a mutual fund or an investment adviser earns these, they can be redeemed with disclosure for services such as: Brokerage services, quotation services, portfolio and securities analysis software, research reports, analyses, and advice, trade analytics, advice on market color and execution strategies, market / financial / economic data, and seminar registration fees.





 
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