SEC to Host Regional Seminars for Compliance Officers
- SEC to Hold National Seminar for Fund Chief Compliance Officers. Hume, Lynn // Bond Buyer;9/27/2005, Vol. 353 Issue 32226, p4
Reports on the plan of the U.S. Securities and Exchange Commission (SEC) to hold its first national outreach seminar for mutual fund and investment adviser chief compliance officers in the U.S. Discussion of the importance of robust and effective mutual fund and investment adviser compliance to...
- SEC to Hold First National CCO Outreach Seminar. Barney, Lee // Money Management Executive;10/3/2005, Vol. 13 Issue 37, p5
Reports on the hosting of national CCO Outreach Seminar by the Securities and Exchange Commission in the U.S. Acceptance of registrations online and giving priority to chief compliance officers; Discussion of latest policy related to mutual funds; Exploration of the importance of effective...
- 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...
- SEC to Hold Roundtables on Use of Interactive Data. Hume, Lynn // Bond Buyer;3/10/2006, Vol. 355 Issue 32336, p28
The article reports on the plan of the United States Securities and Exchange Commission to hold a series of roundtables to discuss speeding up the use of Internet tools to provide investors and analysts with better financial information about mutual funds and companies. Participants in the...
- 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.
- Changes to Mutual Fund Advertising. // Practical Accountant;Nov2003, Vol. 36 Issue 11, p24
Reports that the U.S. Securities and Exchange Commission has adopted rule amendments for mutual fund advertising. Provisions under amendments; Requirement of advertisements to include disclosure that would direct investors' attention to fund investment objectives;
- Redemption Fee Rule Seen Costing Industry $617.5M. Barney, Lee // Money Management Executive;9/26/2005, Vol. 13 Issue 36, p3
Reports on the impact of setting redemption fees in compliance with the U.S. Securities and Exchange Commission's new Rule on mutual fund industry. Total cost of the redemption fees; Details and scope of the Rule 22c-2; Effectivity of the new Rule 22c-2.
- 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...