MSRB, NASD to Work Together on 529 Plan Rules
- Week In Funds: Stock Funds Rally. DOUG ROGERS // Investors Business Daily;8/15/2014, p00
Stock funds halted a two-week slide with solid gains in the latest week amid a rallying
- Thinking Twice About Late Trading Proposal. // Traders Magazine;Mar2004, Vol. 17 Issue 222, p10
Reports on a letter from securities industry trade groups regarding the market structure reform proposal of the U.S. Securities and Exchange Commission (SEC). Possibility that the reform proposal may disadvantage mutual fund shareholders; Late trading plan's call for a mutual fund order to...
- Lower Profit Expected At Investment Banks. // American Banker;9/21/2004, Vol. 169 Issue 182, p18
Announces the beginning of fiscal third-quarter reporting for Wall Street firms in 2004, and speculates that most will report declines. Reasons for declines, including the drop in stock trading and a fall in bond underwriting; Preview of companies expected to report; Financial analysis of the...
- ICI Outlines Three Steps to Deter Fraud. Checkler, Joseph // Money Management Executive;11/10/2003, Vol. 11 Issue 44, p8
Reports on steps to deter fraud in securities trading presented by officials of Investment Company Institute. Procedures that would block the questionable trading practices; Comments from Paul Haaga, executive vice president with Capital Research and Management Co.; Key to determine market timing.
- Trusts backtrack as discount control mechanisms fail. Lewis, Adam // Fund Strategy;4/26/2010, p16
The article presents an analysis on the market performance of discount control mechanisms (DCMs) and explains why it has deteriorated through 2010. It first explains the two kinds of mechanism that an investment trust board can utilize to hedge against discount volatility and these include the...
- 27 Percent Of Investment Managers Predict Significant Impact of Collateral Requirements on Their Business, Says Research. Wang, Wicy // Global Custodian News;2013, p201
27% of investment managers surveyed by Investit's intelligence research service say they are planning for a "significant impact" of the new collateral requirements on their business.
- Sources of Durability and Change in Market Classifications: A Study of the Reconstitution of Product Categories in the American Mutual Fund Industry, 1944-1985. Lounsbury, Michael; Rao, Hayagreeva // Social Forces;Mar2004, Vol. 82 Issue 3, p969
Categories are key elements of classification systems that segregate things into groups and impose coherence. Sociologists have studied how categories shape action in a wide variety of contexts but have spent much less time investigating the sources of category durability and change. We address...
- Preventing a Long Term Capital Fiasco. Bresiger, Gregory // Traders Magazine;Dec2004, Vol. 17 Issue 233, p14
Reports that the U.S. Securities and Exchange Commission has given its final approval on a plan to require hedge fund registration to prevent fraud in the securities trading industry and a repeat of the Long Term Capital Management fiasco. Requirement of the hedge fund registration; Objection of...
- What's Required Of Funds. // National Underwriter / Life & Health Financial Services;4/19/2004, Vol. 108 Issue 15, p10
Cites requirements for a mutual fund's prospectus under regulatory requirements approved by the U.S. Securities and Exchange Commission (SEC) in April 2004 to counter market timing. Inclusion of a description of any risks that frequent purchases and redemptions of fund shares may present for...