SEC Launches Web-Based E-Survey of Investors
- Schwab Survey Reveals Rules Harmonization Costs. Kelly, Sara // Plan Advisor News;2013, p114
The article reports on a survey which investigated the potential burden registered investment advisers (RIA) would face if broker/dealer rules in areas such as licensing, supervision, and books and records were imposed on them by the U.S. Securities and Exchange Commission (SEC). It was found...
- Sponsors feel consulting fees are low, survey says. // Pensions & Investments;5/2/2005, Vol. 33 Issue 9, p27
The article presents the results of a survey by the Investment Management Institute, New York, and its online subsidiary, Electronic Consultants Website Services regarding the consulting industry. It found that plan sponsors believe consulting fees have been chronically low for several years; as...
- 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...
- SEC rules relaxing. Cintron, Hiram // Caribbean Business;11/11/1993, Vol. 21 Issue 45, p10
Reports on the Securities and Exchange Commission's plan to ease certain disclosure rules that foreign companies find too intimidating. Increase in companies listed in United States stock exchanges; Comparison with rules U.S. firms must adhere to; Daimler Benz securities as watermark.
- 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...
- Question of the Week. // Investment Management Weekly;10/7/2002, Vol. 15 Issue 39, p6
Deals with the opinion of investment market professionals Steve Watts of Montgomery County Public Schools and Peter Rathjens of Arrowstreet Capital on the implementation of the U.S. Securities and Exchange Commission to a proposal to regulate analyst certification.
- Shareholder Advocates Urge Congress to Adopt Some Reforms. Hume, Lynn // Bond Buyer;3/24/2004, Vol. 347 Issue 31848, p5
Reports that consumer and mutual fund shareholder advocates had urged Senate Banking Committee members to adopt several targeted legislative reforms for funds after arguing that the U.S. Securities and Exchange Commission (SEC) does not have the authority to move forward with the specific...