SEC Mandates New Investor-Friendly Disclosure Forms for Mutual Funds
- SEC Proposes 2 New Mutual Fund Rules. Hume, Lynn // Bond Buyer;2/2/2004, Vol. 347 Issue 31812, p35
Reports on the proposal of mutual fund regulations by the U.S. Securities and Exchange Commission. Solicitation of public comments for the proposal; Disclosure of information to investors.
- The smartest thing mutual funds can do. Lalli, Frank // Money;Nov94, Vol. 23 Issue 11, p5
Supports the policy initiatives considered by the Securities and Exchange Commission to protect fund shareholders when mutual funds fail. Requirement for funds to disclose their entire portfolios, with current prices, once a month; Fund managers' resistance to disclosure of portfolios.
- Disclosures: Transparency or Money Pit? Hintze, John // Securities Industry News;5/3/2004, Vol. 16 Issue 17, p25
Ponders on the rationality of a proposal to increase mutual fund point-of-sale and confirmation disclosures by the U.S. Securities and Exchange Commission (SEC) in 2004. Details of the proposal; Estimated cost of the implementation of the proposal; Concerns on the rules imposed by SEC.
- XBRL Making Markets More Efficient. Glover, Hannah // Money Management Executive;6/19/2006, Vol. 14 Issue 24, p1
The article reports on the views of the federal regulators during a roundtable discussion hosted at the Securities and Exchange Commission on the use of Internet to allow mutual funds to disclose information to investors in Washington. Putting abbreviated disclosure forms online, with links to...
- SEC Probes Revenue-Sharing; to Weigh New Disclosure Rules. Hume, Lynn // Bond Buyer;1/14/2004, Vol. 347 Issue 31800, p5
Reports on the investigation of the U.S. Securities and Exchange Commission (SEC) on broker-dealer firms and mutual funds for revenue-sharing arrangements. Proposal to set rules that will improve investor access to information about costs and conflicts of interest; Comment of SEC market...
- Congress, SEC Eye After-Tax Mutual Fund Disclosure. Epstein, Ruth S. // National Underwriter / Life & Health Financial Services;5/1/2000, Vol. 104 Issue 18, p7
Examines the initiatives taken by the United States Congress and the Securities and Exchange Commission that focus on mutual fund disclosure. Impact of the taxes that investors pay on distribution of dividends and capital gains; Information on the Mutual Fund Tax Awareness Act of 2000; Overview...
- SEC Mulling Increased Fund Disclosure. Hunter, Matthew // American Banker;5/24/2001, Vol. 166 Issue 100, p10
Reports on the United States Securities and Exchange Commission's (SEC) consideration of regulations that would require mutual funds to disclose their holdings more frequently. Organizations that have asked the SEC to force funds to disclose their holdings more frequently; Claim of a number of...
- NASD Plans Mutual Fund Task Force for Cost Disclosure. Hume, Lynn // Bond Buyer;5/13/2004, Vol. 348 Issue 31883, p4
Reports that the National Association of Securities plans to establish a Mutual Fund Task Force. Plan to make recommendations to the U.S. Securities & Exchange Commission (SEC) on how to provide investors with more information about mutual fund costs; Help in making informed decisions; Aid in...
- SEC Seeking Public Comment on Mutual Fund Disclosure Proposal. Ackerman, Andrew // Bond Buyer;11/16/2007, Vol. 362 Issue 32756, p4
The article focuses on the proposal introduced by the Securities and Exchange Commission (SEC) which is designed to improve mutual fund disclosures as well as make prospectuses easier for investors to understand in the U.S. It suggests that mutual funds must provide a summary prospectus in plain...