SEC Expects to Issue Fair Value Guidance In Summer
- 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...
- Beyond 22c-2: The Oversight Obligation. Boehm, Jonathan // Money Management Executive;5/15/2006, Vol. 14 Issue 19, p18
The article focuses on the applicability of the Rule 22c-2, which ensure that trades within omnibus accounts held to all fund prospectus policies and procedures, developed by the U.S. Securities and Exchange Commission for the mutual fund industry. The rule advances the short-term trading and...
- Investors wary after mutual fund scandals. Adams, Brent // Indianapolis Business Journal;1/12/2004, Vol. 24 Issue 45, p17
Discusses financial advisers' recommendation of mutual funds as investments at the start of 2004. Need for investors to check funds thoroughly before making an investment decision; Requirement for brokers to follow U.S. Securities and Exchange Commission (SEC) standards for registration,...
- A Gold Mine in Low Fund Fees. Ehrenfeld, Temma; Quinn, Jane Bryant // Newsweek;1/31/2005, Vol. 145 Issue 5, p35
Focuses on how the U.S. Securities and Exchange Commission, which regulates brokerage firms, sees a ton of deceptive mutual-fund sales. Reasons why people overlook the costs of mutual-funds; Definition of different shares.
- SEC Approves Summary Prospectus. Morgan, John // Money Management Executive;11/24/2008, Vol. 16 Issue 45, p1
The article reports on the approval on the requirement for mutual funds by the Securities and Exchange Commission in the U.S. The said prospectus will give investors a basic understanding of the fund and will permit them to compare one fund to another. A recent study by Forrester Research...
- New tool can help investors weigh the effects of fees. Jaffe, Charles A. // New Orleans CityBusiness (1994 to 2008);04/19/99, Vol. 19 Issue 42, p20
Introduces the United States Securities and Exchange Commission's Mutual Fund Cost Calculator, a program that can be downloaded for free at the agency's Web site. Key features; Computation of the total cost of holding mutual funds for the specific time period; Typical projections.
- 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.
- Industry Execs Debate Worth of Form N-Q. Amend, James M. // Money Management Executive;10/3/2005, Vol. 13 Issue 37, p1
Reports on the plan of the U.S. Securities and Exchange Commission to make all footnotes and related commentary for Form N-Q filings public, which is causing consternation in the industry. Impact of the Form N-Q on fund firms; Availability of the Form N-Q to the shareholders; Details of the Form...
- A HATED FUND FEE IS UNDER SIEGE--BUT NOT DEAD YET. Wang, Penelope // Money;Sep2010, Vol. 39 Issue 8, p21
The article discusses 12b-1 marketing fees charged by some mutual funds, and the U.S. Security and Exchange Commission's (SEC's) proposal to place caps on them. More than 60% of funds charge 12b-1 fees, which can reach up to 1% of funds under management annually, and the SEC wants to limit them...