SEC Mulls Changes to Trust Rules
- B of A Contacted in SEC Bond Inquiry. // American Banker;7/16/2004, Vol. 169 Issue 136, p20
Reports that Bank of America Corp. has received a request for information from the Securities and Exchange Commission concerning its practices in the $204 billion auction-rate bond market. Investigation of the SEC into whether brokers who help set yields for auction-rate bonds misled investors...
- SEC Reassures Banks on Broker Rule. Garver, Rob // American Banker;2/25/2002, Vol. 167 Issue 37, p24
Focuses on the reassurance of the Securities and Exchange Commission for the banking industry to comply with proposed changes to broker-dealer registration requirements in the U.S. Provisions of the Gramm-Leach-Bliley Act; Extension on the compliance date; Issuance of the final rule.
- SEC Extends Date for Gramm-Leach-Bliley. Hume, Lynn // Bond Buyer;9/13/2005, Vol. 353 Issue 32216, p4
Reports on the move of the U.S. Securities and Exchange Commission to extend the compliance dates for banks in connection with broker-dealer registration requirements contained in the Gramm-Leach-Bliley Act. Claim of the commission that it does not expect banks to develop compliance systems to...
- SEC Extends Temporary Exemption to Weigh Bank Rules. Hurne, Lynn // Bond Buyer;11/3/2004, Vol. 350 Issue 32003, p5
The article reports on the extension of a regulation to weigh bank rules by the Securities and Exchange Commission. The Securities and Exchange Commission extended to March 31, 2005 from November 12, 2004 banks' temporary exemption from a proposed rule that would require them to "push out" some...
- Should Common Trust Funds Be SEC-Regulated? Bratter, Herbert // Banking;Aug64, Vol. 57 Issue 2, p49
Discusses the controversy regarding the regulation and supervision of bank common trust funds in the United States. Position of the American Bankers Association; Laws regarding common trust funds; Views of the U.S. Securities and Exchange Commission regarding bank common trust funds.
- Fiduciary D-Day Arrives. Waddell, Melanie // Investment Advisor;Jul2011, Vol. 31 Issue 7, p73
The article reports that the U.S. Securities and Exchange Commission (SEC) will craft a fiduciary standard for brokers on July 2011. It states that the SEC will have to settle certain issues in their creation of the fiduciary standard, such as the definition of providing personal investment...
- Groups Urge SEC to Uphold Fiduciary Standard. Cornfield, Jill // Plan Advisor News;2013, p125
No abstract available.
- Political donations probed. Barr, Paul G. // Pensions & Investments;7/21/1997, Vol. 25 Issue 15, p38
Comments on the efforts to limit the political contributions to publicly elected pension fund trustees from money managers by the Securities and Exchange Commission. Information on the support given to the idea by some trustees; Identification of legislation relating to the subject; Comments...
- Sheryl Garrett Tells Planners: Sign Fiduciary Oath. Marsh, Ann // Financial-planning.com;3/19/2015, p2
The article discusses the call of Sheryl Garrett, founder of the Garrett Planning Network of fee-only planners who charge an hourly rate, for all planners to sign a pledge lauding themselves fiduciaries. Topics cited include the U.S. Securities and Exchange Commission's (SEC) development of...