Shining the Sun on Mutual Fund Portfolios
- Additional Fund Manager Disclosure Proposed. // Practical Accountant;May2004, Vol. 37 Issue 5, p22
The article focuses on the proposed amendments, by the Securities & Exchange Commission, to its forms that are intended to improve the discIosure that mutual funds and other registered management investment companies provide about their portfolio managers. The proposals would extend the existing...
- Activists Prod SEC on Disclosure of Mutual Fund Holdings. // American Banker;8/11/2000, Vol. 165 Issue 154, p6
Reports on a move by 10 United States consumer advocacy groups to urge the Securities and Exchange Commission to require mutual funds to improve disclosure of their portfolios' holdings to shareholders. Some of the groups that have signed a petition on the matter; Rules that are in effect as of...
- SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure. // Venulex Legal Summaries;2010 Q3, Special section p1
The article offers information on new rules and disclosure requirements to mutual fund distribution fees and disclosure proposed by the U.S. Securities and Exchange Commission on June 21, 2010. The revisions to mutual fund distribution fees will change the existing framework governing the use of...
- SEC Division Urges Disclosure of Mutual Fund Fees Investors Pay. Hume, Lynn // Bond Buyer;01/11/2001, Vol. 335 Issue 31055, p6
Reports that the Division of Investment Management of the United States Securities & Exchange Commission (SEC) has encouraged SEC officials to require mutual funds to disclose the fees shareholders are charged in semi-annual reports. Basis of the proposed requirement; Decrease of mutual fund...
- SEC Proposes Laundry List of Fund Fee Disclosures. Jamieson, Dan // On Wall Street;Mar2004, Vol. 14 Issue 3, p16
Discusses a list of fee disclosures for mutual funds, variable annuities, unit investment trusts and 529 plans proposed by the U.S. Securities and Exchange Commission (SEC). Dollar amounts that brokers would have to orally disclose under the proposal; Comments from Annette Nazareth, SEC head of...
- 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...
- 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.