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Soft Dollars Disbursement

Use the Soft Dollars Disbursement page to request disbursements to soft dollars vendors and view existing disbursements and invoices and elect to pay market data subscriptions with accumulated soft dollars. This page is only accessible after soft dollar vendor accounts have been set up here.

The Soft Dollars page only appears AFTER you have signed and submitted the Soft Dollars Agreement on the Request Soft Dollars page.

Who can access the Soft Dollars Disbursement page?

You can access this page only if you are a Fund Investment Manager or a Registered Professional Advisor and your soft dollar vendors have been set up and approved.

To request a Soft Dollar disbursement

1. Click Transfer & Pay > Soft Dollars Disbursement.
2. Use the Account Selector to search for client or sub accounts by Account ID, Account Title or Account Alias, then click the account whose soft dollar disbursements you want to view.

The Soft Dollars page opens.

The page shows:

• The total accumulated soft dollars for the selected account (Current Balance);
• All past soft dollar disbursements to each soft dollars vendor, including the vendor name and the total amount disbursed. If there are no past disbursements to the selected vendor, the total amount disbursed is shown as zero.

3. View all soft dollar payments to a specific vendor by clicking the View Breakdown button. A popup window opens to show all payments to that vendor. Click the red X to close the popup window.

4. View any individual invoice for a specific vendor by clicking the View link in the Invoice Details column.
5. Request a disbursement to a soft dollar vendor by clicking the Request Disbursement button for a specific vendor.
6. In the dialog, enter information into all fields. Upload your invoice by clicking the Browse button in the Upload Invoice field, and then selecting the invoice file on your computer. Click Submit.

7. In the Use Soft Dollars to Pay Market Data section, click the Yes radio to pay your market data fees with accumulated soft dollars.

• Your market data fees will be paid out of your accumulated soft dollars ONLY if there are enough accumulated soft dollars at the time the market data fee is charged. If there is not enough accumulated soft dollars at the time the market data fee is charged to your account, soft dollars will NOT be used. Also, if you pay for market data for client accounts, then you cannot use soft dollars to pay for that market data.
• Click the No radio button if you do not want to use your accumulated soft dollars to pay for your market data fees.

8. Click Submit to complete your request.

For more information

• Request Soft Dollars