Muni Council Members Formulate Disclosure Focus
- ICI Seeks Improvements To Muni Bond Disclosure. Ackerman, Andrew // Money Management Executive;2/9/2009, Vol. 17 Issue 6, p1
The article reports that the Investment Co. Institute (ICI) is seeking improvements to municipal disclosure. The ICI believes the improvements are needed since few bonds are being insured and it would even seem to see lawmakers repeal the so-called Tower Amendment. ICI General Counsel Karrie...
- Trade group beating the drum for shorter fund prospectuses. Hensley, Scott // American Banker;5/22/1996, Vol. 161 Issue 98, p10
States that the Investment Company Institute formally asked the Securities and Exchange Commission (SEC) to adopt a vastly simplified version of the disclosure document known as a prospectus. How the prospectus will affect the purchasing of fund shares; Comments from the institute's general...
- ICI hires former SEC counsel Forder as VP. Hume, Lynn Stevens // Bond Buyer;06/01/98, Vol. 324 Issue 30404, p4
Focuses on Investment Company Institute's hiring of US Securities and Exchange Commission's former counsel Timothy J. Forde as its vice president of strategic analysis. Forde's career background.
- ICI Joins ECNs in Backing Trade-Through Disclosure. Hendrickson, Mark // Securities Industry News;11/13/2000-11/20/2000, Vol. 12 Issue 43, p8
Reports on the Investment Co. Institute's endorsement of a trade-through disclosure rule for equities. Proposal by the United States Securities and Securities Commission of the rule for the options market; Provisions under the rule.
- ICI: SUPERMONTAGE PLAN GETTING BETTER BUT IT'S NOT THERE YET. // Securities Industry News;12/18/2000-12/25/2000, Vol. 12 Issue 47, p3
Presents excerpts from the December 5, 2000, comment letter of the Investment Co. Institute to the United States Securities and Exchange Commission discussing its opposition to two additions to the plans, preferenced orders and an execution algorithm for nondirected orders that would be based on...
- Request for Portfolio Rule Change Denied. // American Banker;8/24/2001, Vol. 166 Issue 164, p9
Reports that the United States Securities and Exchange Commission has denied a petition filed by the Investment Co. Institute requesting that personal portfolios be regulated as mutual funds. Description of personal portfolios.
- ICI Comments on Money Market Funds Proposal. McGuinness, Kevin // Plan Advisor News;2013, p60
No abstract available.
- The bespeaks caution doctrine: Revisiting the application of federal securities law to opinions... de R. Barondes, Royce // Journal of Corporation Law;Winter94, Vol. 19 Issue 2, p243
Presents an analysis of the Bespeaks Caution Doctrine. History of the Securities and Exchange Commission's adoption of the safe harbor; Chronological review of the Bespeaks Caution Doctrine as it has been discussed by the court of appeals; Application of federal securities law to opinions and...
- Reports from Abroad to the SEC. // Management Review;Nov66, Vol. 55 Issue 11, p67
Reports that the U.S. Securities and Exchange Commission (SEC) has asked in 1966 for information from all foreign companies that have assets over one million dollars and at least 500 stockholders, 300 of which are Americans. Number of firms which submitted reports to the SEC.