Ex-Piper fund manager settles with SEC
- SEC adding to online rules. // Pensions & Investments;6/24/1996, Vol. 24 Issue 13, p42
Reports on the plans of the US Securities and Exchange Commission to issue an interpretive release on investment advisers offering services and providing documents online.
- SEC expands performance-fee requirements. Anand, Vineeta // Pensions & Investments;08/10/98, Vol. 26 Issue 16, p51
Reports on the expansion of performance-fee requirements by the United States Securities and Exchange Commission (SEC). Benefits of this expansion to money managers; Details on the changes made; Other eliminations made by the SEC; Recommendations made in a 1992 report by the SEC's division of...
- SEC supports federal-state oversight of inv. advisers. Friedman, Amy S. // National Underwriter / Life & Health Financial Services;2/5/96, Vol. 100 Issue 6, p1
Reports on the United States Securities and Exchange Commission's (SEC) suggestion that regulation and oversight of investment advisers should be a joint federal and state responsibility. Implications on the practice of investment advisers; Expansion of the idea of split jurisdiction; SEC's...
- Funds can tout track records that managers made elsewhere. Hensley, Scott // American Banker;8/14/1996, Vol. 161 Issue 155, p1
Reports on US Securities and Exchange Commission's (SEC) ruling which allows fund managers who transfer to other fund companies to take their performance records with them. SEC's approval of fund manager Elizabeth Bramwell's request to use her track record at Gabelli & Co. in the prospectus of...
- The Shadow Advisers. Koreto, Richard J. // Financial Planning;Jun2002, Vol. 32 Issue 6, p91
Reports on Web-based investment advisers in the U.S. Policy of the U.S. Securities and Exchange Commission on the advisers; Requirements for an Internet-based adviser; Factors that led to the creation of the Web site advisory services.
- SEC's G-37-Like Rule for IAs Is Dead. Hume, Lynn // Bond Buyer;01/30/2001, Vol. 335 Issue 31066, p1
Reports on the United States Securities and Exchange Commission's proposed G-37-like rule for investment advisers. Voluntary imposition of a moratorium on the rulemaking proposal; Need to protect investors.
- SEC staff drafts rule based on G-37 for investment advisers. Hume, Lynn Stevens // Bond Buyer;01/14/99, Vol. 327 Issue 30558, p39
States that the United States Securities and Exchange Commission staff is drafting a G-37-like rule for registered investment advisers. Agency's inquiry into pay-to-play practices in pensions and municipal securities.
- There is enough evidence to warrant a G-37-like rule, Maco says. Hume, Lynn // Bond Buyer;12/14/99, Vol. 330 Issue 30787, p32
Reports on the need for the United States Securities and Exchange Commission's proposed G-37-like rule for investment advisers. Absence of evidence of pay-to-play abuses in the public money management arena.
- Supreme Court: SEC has jurisdiction over unregistered investment advisers. Ferris, Craig T. // Bond Buyer;03/07/2000, Vol. 331 Issue 30843, p6
Focuses on the support of the Supreme Court on the enforcement power of Securities and Exchange Commission (SEC) over unregistered investment advisers in the United States. Contribution of the investment advisers on the higher court action; Investigation on Victor Teicher & Co. as the onset of...