TITLE

The Securities and Exchange Commission

PUB. DATE
July 2006
SOURCE
Investment Dealers' Digest;7/17/2006, Vol. 72 Issue 28, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
This article reports on the Securities and Exchange Commission in relation to a landmark decision that restricts the use of soft dollars and the kinds of services that money managers can get for sending inflated trading commissions to brokerages. The new rules, which were first drafted in October, take effect in six months.
ACCESSION #
21657106

 

Related Articles

  • 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...

  • 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.

  • 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.

  • 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...

  • 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.

  • 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.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics