Donaldson: SEC's Priority is Reforming Mutual Fund Industry
- SEC Approves NYSE Overhaul, Pushes Better Fund Disclosure. Hume, Lynn // Bond Buyer;12/18/2003, Vol. 346 Issue 31784, p1
Reports the approval of Washington Securities and Exchange Commission (SEC) on proposals to improve mutual fund disclosures of breaking point discounts and transaction cost. Approval on the new governance structure for the New York Stock Exchange; Purpose of the proposal; Basis of the SEC decision.
- SMMP Proposal Approved by SEC Despite Concerns of Big Investors. Hume, Lynn // Bond Buyer;5/3/2002, Vol. 340 Issue 31379, p1
Reports the approval of the sophisticated municipal market professional (SMMP) proposal by the U.S. Securities and Exchange Commission. Consistency of the proposal with securities law provisions; Condition under SMMP; Definition of SMMP.
- SEC Chair Hints at Hedge Fund Regulation. Frankie, Chris // Money Management Executive;6/2/2003, Vol. 11 Issue 22, p1
Reports on the call of U.S. Securities and Exchange Commission Chairman William Donaldson on hedge fund regulation as of June 2, 2003. Estimated number of hedge funds in the U.S.; Key obstacles to potential regulation according to Donaldson; Effort of regulators to examine the lack of...
- SEC chairman should buy into decimal pricing payoff. Lane, Marc J. // Crain's Chicago Business;7/14/2003, Vol. 26 Issue 28, p7
The new chairman of the United States Securities and Exchange Commission claims he's committed to restoring confidence in the stock markets, but William Donaldson's recent criticism of decimal pricing suggests he may be bowing to pressure from Wall Street insiders at the expense of ordinary...
- Hard Decisions on Soft Dollars. Kentouris, Chris // Securities Industry News;3/7/2005, Vol. 17 Issue 9, p1
Focuses on the rules being planned by market regulators for soft-dollar commissions. Regulation favored by U.S. Securities and Exchange Commission Chairman William Donaldson; Drop in the use of soft dollar commissions; Decision of the U.S. Investment Company Institute, a mutual fund trade...
- SEC Fines Two Brokers Involved With Bentley. Roberts, Ed // Credit Union Journal;3/3/2003, Vol. 7 Issue 9, p14
Reports on the imposition of penalties to the brokers for Bentley Financial Services and Philadelphia CD by the Securities and Exchange Commission in Washington. Payment of restitution to investors; Suspension from the securities business for six months.
- MBA OPPOSES EFFORT TO END EXEMPTION. // National Mortgage News;5/20/2002, Vol. 26 Issue 34, p3
Reports on the opposition of the Mortgage Bankers Association on the Securities and Exchange Commission (SEC) disclosure legislation in Washington. Termination on the exemption of Fannie Mae Corp. and Freddie Mac company from SEC registration and disclosure requirements; Statement regarding...
- ICI to Congress: We Were 'Dumb' // Money Management Executive;11/24/2003, Vol. 11 Issue 46, p1
Discusses the ongoing investigation into the abuses in mutual funds and other investments. Claims of Investment Company Institute (ICI) President Matthew Fink on the allegations against the company; Measures that U.S. Security Exchange Commission Chairman William Donaldson and the ICI have put...
- On The Record. // Securities Industry News;10/4/2004, Vol. 16 Issue 32, p30
The article presents views of several members of the U.S. Securities and Exchange Commission about business. Securities and Exchange Commission Chairman William Donaldson, spoke at the Financial Services Leadership Forum in New York. According to him the commission has no desire to regulate...