SEC Narrowly Approves Controversial Muni Fund Rules
- Mutual fund investors should know. Siedle, Edward A.H. // Pensions & Investments;9/20/1999, Vol. 27 Issue 19, p12
Comments on the United States Securities and Exchange Commission's amendments to the rules governing personal trading by fund managers. Rules' alleged enabling of mutual fund companies to hide illegal personal trading from the investing public; Ethical conduct of fund managers; Perceived loss...
- Bill Would Have States Oversee Hedge Funds. // Money Management Executive;11/9/2009, Vol. 17 Issue 43, p2
The article reports that the House Financial Services Committee has passed a bill that would regulate hedge funds and investment advisors with 25 million dollars or less in assets under management in the U.S. It states that the Securities and Exchange Commission (SEC) regulates advisors with 25...
- Proxy Vote Disclosure. // Practical Accountant;Mar2003, Vol. 36 Issue 3, p17
Reports that the U.S. Securities and Exchange Commission has voted to adopt rule changes that would require mutual funds and other registered management investment firms to disclose their proxy voting policies and procedures and their actual proxy votes cast. Proxy voting disclosures.
- SEC Placement Agent Ban Draws Fire. Ackerman, Andrew // Investment Management Weekly;9/22/2009, p1
The article reports on the reaction of the investment market to the U.S. Securities and Exchange Commission's (SEC) proposal to ban investment advisors' use of third-party placement agents. The proposal could potentially place new and small firms at a disadvantage as well as create additional...
- Hedge funds slowly headed for SEC regulation. Abelson, Ben // Long Island Business News (7/1993 to 5/2009);10/17/2003, Vol. 50 Issue 45, p6A
Reports on the regulatory control of the Securities and Exchange Commission on the hedge fund industry in the U.S. Registration of fund managers as investment advisers; Way to encourage the disclosure of financial information; Restoration of investor confidence.
- Error-log requirement irks big managers, fund firms. Anand, Vineeta // Pensions & Investments;11/25/2002, Vol. 30 Issue 24, p6
Reports that the U.S. Securities & Exchange Commission (SEC) requires investment advisers and mutual fund groups to hand over their log of errors to federal examiners during routine inspections. Reaction of managers and fund firms to the requirement; Details of the change in inspection...
- SEC Proposes Soft-Dollar Guidance for Fund Boards. Curtis, Carol E. // Securities Industry News;8/11/2008, Vol. 20 Issue 29, p18
The article reports on the proposed guidelines issued by the U.S. Securities and Exchange Commission for mutual fund boards in their oversight of investment advisers who pay for services using soft-dollar commissions. The guidelines give directors flexibility in monitoring the activities of...
- SEC Proposes Heightened Data and Reporting Rules for Funds and Advisers, Ponders New Rules on Derivatives and Leverage. Baris, Jay G. // Venulex Legal Summaries;2015 Q2, p1
The article reports on the enhanced data collection and reporting rules proposed by the U.S. Securities and Exchange Commission (SEC) to investment firms and advisers. Topics discussed include the need for exchange traded funds (ETF) to submit additional investment-related data to the SEC, the...
- 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.