Flex Muscles for Better Disclosure, SEC's Haines Urges Money Funds
- Funds Don't Shy Away From Shadow NAV. Barney, Lee // Money Management Executive;2/7/2011, Vol. 19 Issue 6, p1
The article reports that Investment Co. Institute (ICI) is active in educating investors about variances in value to prevent their redemptions and concerns as the Securities and Exchange Commission (SEC) started to post money market funds on Form N-MFP in the U.S. The funds are based on...
- Don't delay moves on money market, investors warned. BAERT, RICK // Pensions & Investments;9/21/2015, Vol. 43 Issue 19, p3
The article reports on a warning by money managers and consultants about the need for investors to apply the U.S. Securities and Exchange Commission's (SEC) rules on institutional prime money market before the implementation in October 2016. The regulations would require floating net asset...
- Group takes cause to SEC. Anand, Vineeta // Pensions & Investments;1/20/1997, Vol. 25 Issue 2, p2
Reports that a group of religious investors and a union pension fund, asked four members of the United States' Securities and Exchange Commission, to overturn a rule governing work-place-related shareholder requests. Identification of the group; Information on the appeal from investors.
- SEC wants firms to flag drops in pension income. Anand, Vineeta // Pensions & Investments;2/4/2002, Vol. 30 Issue 3, p4
Reports the assertion of the Securities and Exchange Commission (SEC) that companies should alert investors on the declines in the value of investment securities or pension plan assets in the United States. Revelation of increased pension liabilities; Requirement for companies to discuss...
- LINGERING CLOUDS. Wirth, Gregg // Investment Dealers' Digest;5/27/2002, Vol. 68 Issue 21, p28
Comments on the key to restoring investor performance in the U.S. Reaction on the regulation governing analyst conflicts; Stipulation of the Securities and Exchange Commission regulation; Impact of the decision of Merrill Lynch & Co. for a settlement agreement on the securities industry.
- SEC seen moving forward with G-37-like rule, Y2K survey. Hume, Lynn // Bond Buyer;02/04/99, Vol. 327 Issue 30572, p5
Assesses the possibility that the United States Securities and Exchange Commission (SEC) will move forward with a G-37-like rule to prohibit pay-to-play in the public money management area. Commission associate director Robert Plaze's collection of evidence of pay-to-play practices in the...
- SEC to Meet on MMF Rules Next Wednesday, July 23. Hume, Lynn // Bond Buyer;7/17/2014, Vol. 1 Issue 34145, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) has asserted that it will meet to consider money market fund rules in July 2014, and mentions that it will also consider to adopt amendments to rules governing the operation of money market funds.
- SEC's Maco: Protecting Investors Top Priority in Web Disclosure. Finestone, Deborah // Bond Buyer;09/27/2000, Vol. 333 Issue 30984, p36
Reports that the United States Securities and Exchange Commission continues to focus on investor protection against fraud. Efforts of the commission to facilitate electronic access to disclosure documents; Advantages of electronic distribution of an official statement for underwriters.
- MERCER BULLARD Puts the BITE on BROKER ISSUES. Chapelle, Tony // On Wall Street;Mar2005, Vol. 15 Issue 3, p60
Focuses on the efforts of investor advocate Mercer Bullard in fighting for more disclosure from mutual funds and brokerages in the U.S., as of March 2005. Views of Bullard on steps to changing the mutual fund arena; Response of the U.S. Securities and Exchange Commission to the proposals of...