The Securities and Exchange Commission
- NAIPFA Adopts New Registration Requirement for Investment Advisers. Hume, Lynn // Bond Buyer;10/17/2000, Vol. 334 Issue 30997, p5
Reports that the National Association of Independent Public Finance Advisors adopted a policy that calls for its members to register as investment advisers with the United States Securities and Exchange Commission (SEC) or with states. Consistency of the policy with a legal bulletin earlier...
- 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...
- Firms prepare for money market changes. COMTOIS, JAMES // Pensions & Investments;12/8/2014, Vol. 42 Issue 25, p2
The article reports on the preparation being made by investment managers for the changes in the money market following the issuance of rules establishing a floating net asset value (NAV) for institutional prime money market funds by the Securities and Exchange Commission (SEC) on July 23, 2014.
- Independent FA Group Considers Policy on Investment Activities. Hume, Lynn // Bond Buyer;10/10/2000, Vol. 334 Issue 30992, p44
Reports that an independent financial adviser group is considering a policy on investment activities in the United States. Registration of the members of the group with the U.S. Securities and Exchange Commission; Application of the Investment Advisers Act of 1940.
- â€¦Blotterâ€¦. French, Kristen // REP.;Jul2012, Vol. 36 Issue 7, p20
The article offers information on accusations levied by the U.S. Securities & Exchange Commission (SEC) against several investment advisors.
- 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.
- 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.