Heartland Receiver Files Suit Against Bonds' Trustee
- 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...
- Analysts Shouldn't Pitch Deals, SSB Says. Jamieson, Dan // On Wall Street;Sep2002, Vol. 12 Issue 9, p17
Discusses the proposals for the further separation of research analysts from investment bankers regarding soliciting investment banking business and attending road shows in the U.S. in 2002. Proposal from Salomon Smith Barney and its parent company Citigroup; Information on the analyst reform...
- 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.