TITLE

Task Force Softens Independent Research

PUB. DATE
September 2004
SOURCE
Investment Management Weekly;9/13/2004, Vol. 17 Issue 36, p1
SOURCE TYPE
Periodical
DOC. TYPE
Article
ABSTRACT
Presents information on the survey conducted by Investorside Research Association on the effect of the decision of the U.S. Securities and Exchange Commission to ban soft dollars on independent research firms. Results of the task force study of soft dollar trading commissions conducted by SEC; Percentage of firms that were affected by the decision; Implications of the decision for the independent research business.
ACCESSION #
14393011

 

Related Articles

  • SEC Launches Web-Based E-Survey of Investors. Hume, Lynn // Bond Buyer;05/04/2001, Vol. 336 Issue 31132, p5 

    Reports on the United States Securities and Exchange Commission's launch of a Web-based survey. Attempt of the commission to learn more about how investors are using the Internet and other electronic media to make investment decisions.

  • A Fund by Any Other Name. Revell, Janice // Fortune;3/5/2001, Vol. 143 Issue 5, p214 

    Discusses name changes of mutual funds as of March, 2001. How many changed their name to more accurately describe their business while others were changed for marketing strategies; Announcement by the United States Securities and Exchange Commission which requires that a percentage of a mutual...

  • The Long Goodbye By Jerry Gleeson.  // REP.;Mar2012, Vol. 36 Issue 3, p14 

    The article says that about 3,200 mid-sized registered independent advisors (RIAs) will transfer their registration from the U.S. Securities and Exchange Commission (SEC) to the states where they do business. The deadline for the transfer is March 30, 2012 and registration with states should be...

  • Real assumptions.  // Pensions & Investments;2/17/2003, Vol. 31 Issue 4, p10 

    Editorial. Focuses on the investment strategies of the business enterprises in the U.S. Reasons for reducing the assumed returns on pension and investment funds by the business enterprises; Concern of Securities and Exchange Commission over high rate of return assumptions for pension assets.

  • Can small businesses navigate the SEC's 'gotcha' regulation? Baker, Brent // Enterprise/Salt Lake City;9/17/2012, Vol. 42 Issue 7, p8 

    The article tackles the implications for small businesses of the U.S. Securities and Exchange Commission's (SEC's) interest in catching violators than offer counsel to small businesses as the federal watchdog of the investment markets in the U.S.

  • LSI Files IPO Papers for Storage Systems Subsidiary.  // Electronic News;3/8/2004, Vol. 50 Issue 10, pN.PAG 

    Reports that LSI Logic Corp. filed a preliminary registration statement with the U.S. Securities and Exchange Commission in anticipation of spinning off its storage systems business. Information on LSI; Benefits of the offering to LSI; Strategic focus of the company after the separation.

  • Corporate Revenue Rises Faster Than Executive Pay.  // HR Magazine;Oct2007, Vol. 52 Issue 10, p10 

    This article explains that amidst numerous complaints that top executives make too much money, a report released August 24, 2007 by the Economic Research Institute (ERI) and Career Journal.com revealed that corporate sales during the past 10 years have risen faster than executive pay. The report...

  • Dealers to Issuers: Questions Remain on MA Rule. Glazier, Kyle // Bondbuyer.com;2/1/2014, p17 

    The article focuses on the questions raised by dealer groups about the registration rule of the U.S. Securities and Exchange Commission's (SEC) for municipal advisors. One of the concerns raised by representatives from the Securities Industry and Financial Markets Association (SIFMA) and Bond...

  • NEWS Digest.  // CPA Practice Management Forum;2006, Vol. 2 Issue 9, p18 

    The article offers news briefs related to businesses in the U.S. An additional relief for compliance with the Sarbanes-Oxley Act was granted by the Securities and Exchange Commission to public companies and foreign private issuers. The Center for Global Accountancy Education, Benchmarking and...

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

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

Try another library?
Sign out of this library

Other Topics