Prime Brokers Read "Opportunity"

Santini, Laura
October 2003
Investment Dealers' Digest;10/6/2003, Vol. 69 Issue 38, p12
Trade Publication
Reveals the effects on stock brokerages of U.S. Securities and Exchange Commission's regulations of hedge fund and mutual funds. Concerns that the latter is at a disadvantage over the former; Registration as investment advisers that need to submit to periodic checks; Capital introduction services.


Related Articles

  • SEC Eyes Conflicts of Interest in the Business. Miller, Matthew // U.S. Banker;Apr2003, Vol. 113 Issue 4, p12 

    Reports on the U.S. Securities & Exchange Commission's initiation of steps to regulate the hedge fund industry. Database of hedge fund information established by the commission; Reasons for the increase in regulatory interest in the industry.

  • SEC Backs Tighter Hedge Fund Limits.  // American Banker;11/22/2010, Vol. 175 Issue 179, p12 

    The article reports that the U.S. Securities & Exchange Commission (SEC) approved a regulation requiring hedge fund managers to register with the agency and provide other information on their employees and practices.

  • Home rules to change for hedge funds.  // Westchester County Business Journal;3/5/2012, Vol. 48 Issue 10, p20 

    The article announces that the U.S. Securities and Exchange Commission decided that the value of hedge fund investor's primary residence will no longer count in calculating net worth for determining who is a qualified client and therefore be charged with performance fee.

  • Proposal May Hurt Hedge Funds.  // American Banker;5/25/2011, Vol. 176 Issue 81, p9 

    The article considers a regulation proposed the U.S. Securities & Exchange Commission (SEC) which would limit the number of financiers to whom hedge funds could charge financial performance fees.

  • SEC's New Rules Would Permit Fund Directors to Better Protect Investors. Hume, Lynn // Bond Buyer;01/04/2001, Vol. 335 Issue 31050, p5 

    Reports on the United States Securities and Exchange Commission's adoption of rules that would increase the ability of independent mutual fund directors to protect investors. Protection of investors from conflict of interest and other potential fund abuses.

  • SEC Criticizes Faulty Fund Disclosures.  // American Banker;8/3/2010, Vol. 175 Issue 118, p16 

    The article reports that the U.S. Securities & Exchange Commission (SEC) has criticized mutual funds for providing investors with insufficient information on the funds' use of derivative securities.

  • SEC Weighs After-Tax Returns Disclosure. Brostoff, Steven // National Underwriter / Life & Health Financial Services;6/26/2000, Vol. 104 Issue 26, p7 

    Reports that the United States Securities and Exchange Commission proposed a rule that would require mutual funds to disclose their returns on an after-tax basis. Fear of the industry over the proposal; Principle of the rule.

  • New Rules Might Leave Some VA/VL Funds Hurting. Puretz, Jeffrey S. // National Underwriter / Life & Health Financial Services;2/5/2004, Vol. 105 Issue 6, p47 

    Reports that the United States Securities and Exchange Commission adopted rules that will require mutual funds to hire counsel to their independent directors. How the rule came into being; Impact of the rules on corporate governance of mutual funds.

  • SEC Proposes Requiring Funds to Disclose After-Tax Returns. Hume, Lynn // Bond Buyer;03/16/2000, Vol. 331 Issue 30850, p32 

    Focuses on United States Securities and Exchange Commission's approval of rules that would require mutual funds to disclose after-tax returns to investors. Enhancement of tax-exempt bond funds for investors; Significant costs of investing in mutual funds.


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics