TITLE

SEC Adopts Interpretive Release to Prevent Soft-Dollar Abuses

AUTHOR(S)
Hume, Lynn
PUB. DATE
July 2006
SOURCE
Bond Buyer;7/13/2006, Vol. 357 Issue 32422, p6
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports that the U.S. Securities and Exchange has adopted an interpretative release on "soft dollars" that is designed to ensure that money managers are not abusively using client commission dollars to pay for questionable brokerage and research services. The interpretative release would essentially take effect in six months.
ACCESSION #
21657460

 

Related Articles

  • Practical Summary of the Regulatory Environment for Registered Investment Advisers. Cascarelli, Joseph C. // Journal of Financial Service Professionals;Nov2000, Vol. 54 Issue 6, p46 

    Presents a summary of the regulation for registered investment advisers in the United States. Availability of securities information on the Internet; Demonstration of investment adviser competence; Registration of financial planners; Regulation of adviser communication with the Securities and...

  • Practical Summary of the Regulatory Environment for Registered Investment Advisers. Cascarelli, Joseph C. // Journal of Financial Service Professionals;Nov2000, Vol. 54 Issue 6, p46 

    Presents a summary of the regulation for registered investment advisers in the United States. Availability of securities information on the Internet; Demonstration of investment adviser competence; Registration of financial planners; Regulation of adviser communication with the Securities and...

  • Brokers are Still Brokers. Reid, Jean Margo // On Wall Street;Jun2000, Vol. 10 Issue 6, p129 

    Focuses on the brokerage services in the United States (U.S.). Proposed rule of the U.S. Securities and Exchange Commission to exclude a broker-dealer providing investment advice to customers; Reference to the Investment Advisers Act of 1940; Views on the growth in fee-based customer account...

  • PE Lobby OKs SEC Registration. Marino, Jonathan // Mergers & Acquisitions Report;7/20/2009, Vol. 22 Issue 29, p21 

    The article reports on the announcement made by the Private Equity Council, saying it supports registering as investment advisers with the U.S. Securities and Exchange Commission (SEC). According to Mark Tresnowski, managing director and general counsel of Madison Dearborn Partners, the private...

  • Deconstructing Rand. Veres, Bob // Financial Planning;Mar2008, Vol. 38 Issue 3, p37 

    The author reflects on the Rand Corporation's 2008 report "Investor and Industry Perspectives on Investment Advisers and Broker-Dealers." It is stated that numerous scandals have reached the financial headlines in the past that resulted to the Investment Advisers Act of 1940. Reportedly, the...

  • Securities And Exchange Commission Delays Enforcement Of Investment Advisor Rule. Postal, Arthur D. // National Underwriter / Life & Health Financial Services;9/19/2005, Vol. 109 Issue 35, p52 

    The article reports that the U.S. Securities And Exchange Commission (SEC) is delaying by 4 months the enforcement of a new regulation that will affect investment advisors. This was a compromise decision in response to pressures from opposing parties--the financial services trade groups who...

  • SEC Proposes Amendments to Form ADV Part 2 and Related Rules.  // ComplyNet;Feb2008, p9 

    The article reports that the U.S. Securities and Exchange Commission (SEC) has voted unanimously to propose rule amendments requiring investment advisers to prepare and deliver to clients and prospective clients a narrative brochure written in plain English. Brochures would be made available to...

  • A Work in Progress: AML and Hedge Funds. Sandman, John // Securities Industry News;Winter2005, Vol. 17, p6 

    Reports on the registration of investment advisors of hedge funds with the U.S. Securities and Exchange Commission under the Investment Advisors Act of 1940. Proposals on anti-money laundering (AML) compliance for hedge funds; Information on minimum standards for unregistered investment...

  • Fiduciary Matters. SILBER, KENNETH // Research;Jul2011, Vol. 34 Issue 7, p37 

    The article focuses on the confronting issue on the how the U.S. Securities and Exchange Commission (SEC) will impose the new fiduciary rules. It explores the prospect of a having a uniform fiduciary standard that would apply to all financial advisors. It asserts that a fiduciary standard varies...

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