NAIPFA Adopts New Registration Requirement for Investment Advisers
- SEC tells treasurers G-37-like rule will soon be on the way. Hume, Lynn // Bond Buyer;06/17/99, Vol. 328 Issue 30664, p1
Reports on the United States Securities and Exchange Commission's proposed rule seeking to prohibit government-regulated investment advisers from participating in pay-to-play practices to acquire public finance management business. Provisions of the proposed regulation; National Association of...
- SEC Plans to Repropose Pay-to-Play Rules. Ackerman, Andrew // Bond Buyer;6/3/2009, Vol. 368 Issue 33125, p1
The article reports on the proposal of the U.S. Securities and Exchange Commission (SEC) to restrict pension funds investment advisers from engaging into pay-to-play transactions with the municipal securities industry. It reveals that the move was carried out following the issue on the...
- 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.