SECURITIES IN REGISTRATION: DEBT
- 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...
- 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.
- SEC may check up on disclaimer, other compliance, Maco says. Hume, Lynn // Bond Buyer;03/07/2000, Vol. 331 Issue 30843, p7
Focuses on the legal bulletin issued by the Securities and Exchange Commission (SEC) to provide updates to financial and investment advisers in the United States. Settlement of the enforcement case between SEC and O'Brien Partners; Violation of O'Brien Partners to the Investment Advisers Act...
- Is the SEC Rethinking Adviser Rule? Hume, Lynn // Bond Buyer;04/28/2000, Vol. 332 Issue 30880, p1
Reports on the possibility that the United States Securities & Exchange Commission is backing away from the idea of a G-37-like rule. Prohibition of investment advisers from engaging in pay-to-play practices to obtain pension and other public money management business.
- SEC's Levitt Open to Alternative to G-37-Like Adviser Rule. Hume, Lynn // Bond Buyer;05/24/2000, Vol. 332 Issue 30898, p6
Reports on the United States Securities and Exchange Commission's adoption of a rule to prevent investment advisers from engaging in pay-to-play practices. Evaluation of the report of the Investment Counsel Association of America; Adoption of codes of ethics.
- SEC suspends adviser for `borrowing' funds. L.B. // Financial Planning;Dec97, Vol. 27 Issue 12, p22
Reports on the suspension of an investment adviser for borrowing funds from investors in limited partnership by the United States Securities and Exchange Commission. Account of the act; Act of misconduct.