TITLE

Mutual Fund Fair Pricing a Focus of SEC Examinations

AUTHOR(S)
Hume, Lynn
PUB. DATE
April 2002
SOURCE
Bond Buyer;4/11/2002, Vol. 340 Issue 31363, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the proposal of fair-value pricing procedures by the U.S. Securities and Exchange Commission. Evaluation of broker-dealer mutual funds; Inclusion of disaster recovery planning in the contingency plans; Calculation of net asset value.
ACCESSION #
9022928

 

Related Articles

  • SEC Adopts Rules for Mutual Funds. Hume, Lynn // Bond Buyer;12/4/2003, Vol. 346 Issue 31774, p1 

    Reports on the U.S. Securities and Exchange Commission's adoption of rules requiring fund companies and investment advisers to set up comprehensive compliance programs that include written policies on fair-value pricing. Prevention of a circumvention of a longstanding prohibition on late...

  • The Art of True Fair Value to Stem Market Timing. Ciampi, Peter // Money Management Executive;10/20/2003, Vol. 11 Issue 41, p3 

    Focuses on market timing as a concern of the mutual fund industry. Remedies made by mutual fund companies to limit arbitrage; Information on a staff letter of the U.S. Securities and Exchange Commission on fair-value pricing; Two tests completed by FT Interactive Data on the appropriateness of...

  • SEC Examining Fair-Value Pricing Practices. Hume, Lynn // Bond Buyer;3/8/2004, Vol. 347 Issue 31836, p5 

    Reports that the U.S. Securities and Exchange Commission is the examining the fair-value pricing practices of municipal bonds and other mutual funds. Aim to gather information about how funds price illiquid securities; Purpose of the examination; Identification of additional fund information.

  • NEW VALUATION GUIDANCE: A REMINDER OF DIRECTORS' RESPONSIBILITIES. BARIS, JAY G. // Venulex Legal Summaries;2014 Q4, p1 

    The article discusses the need for mutual fund directors to comply with the valuation guidance issued by the U.S. Securities and Exchange Commission (SEC) as of October 2014. Topics covered include the call for directors to determine the fair value of portfolio securities when market prices are...

  • Society Briefing Sheds Light on Fair Value. Lajara, Melissa Hoffmann // Trusted Professional;12/15/2008, Vol. 11 Issue 22, p1 

    The article reports on the deliberation of the Securities and Exchange Commission (SEC) in the U.S. regarding the fair value accounting.

  • SEC's Pitt Criticizes Current Securities Law, Advocates Reform. Hume, Lynn // Bond Buyer;5/28/2002, Vol. 340 Issue 31395, p5 

    Reports the criticism of U.S. Securities and Exchange Commission (SEC) chairman Harvey Pitt on the reforms of municipal and mutual funds. Investigation of mutual fund distribution practices; Plans of Pitt to establish a risk management division within the SEC; Certification of quarter and...

  • SEC Votes to Propose Revamp of Mutual Fund Fees. ACKERMAN, ANDREW // Bond Buyer;7/22/2010, Vol. 373 Issue 33354, p5 

    The article reports that the U.S. Securities and Exchange Commission (SEC) has voted for rules that would revamp sales and distribution fees charged by some mutual funds and provide better disclosure about the fees to investors.

  • SEC official sees deceptive ads. Garrity // Bank Investment Consultant;Aug99, Vol. 7 Issue 8, p13 

    Reports on the issuance of a warning by United States Securities and Exchange Commission's Office of Compliance, Inspections, and Examinations Director Lori Richards to mutual fund firms who manipulate investment performance figures. Mechanics of how investment figures are manipulated.

  • Mutual Fund Fees, Expenses Under Increasing Security. Brostoff, Steven // National Underwriter / Life & Health Financial Services;3/31/2003, Vol. 107 Issue 13, p8 

    Focuses on issues concerning the mutual fund fees and expenses under screening scrutiny by the U.S. Securities and Exchange Commission. Ways to improve disclosure to investors; Need to require share holder in dollars with investment; Benefits of the structure of mutual funds in the economy.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics