Falcon Square Capital provides brokerage and research services, as defined under Section 28(e) of the Exchange Act, to its institutional accounts in connection with fixed income trades in the secondary and new issue markets. Falcon Square Capital’s Section 28(e) Arrangement operates similar to Equity Soft Dollars. Trades executed in the following fixed income classes, Corporate Debt, Municipal Securities, Treasuries, U.S. Government Agencies, RMBS, CMBS, Asset-Backed Securities, and Structured Products, can generate research credits to pay for eligible third-party research under Section 28(e). To date, Falcon Square Capital has paid 53 different independent research providers through this arrangement.
If you are interested in learning more about Falcon Square Capital’s Section 28(e) Arrangements, please contact Scott Cunningham at 919-825-1534.
