Fund, Adviser Groups Wary of Commission's SRO Concept
- SEC's New Rules Would Permit Fund Directors to Better Protect Investors. Hume, Lynn // Bond Buyer;01/04/2001, Vol. 335 Issue 31050, p5
Reports on the United States Securities and Exchange Commission's adoption of rules that would increase the ability of independent mutual fund directors to protect investors. Protection of investors from conflict of interest and other potential fund abuses.
- SEC Criticizes Faulty Fund Disclosures. // American Banker;8/3/2010, Vol. 175 Issue 118, p16
The article reports that the U.S. Securities & Exchange Commission (SEC) has criticized mutual funds for providing investors with insufficient information on the funds' use of derivative securities.
- SEC Weighs After-Tax Returns Disclosure. Brostoff, Steven // National Underwriter / Life & Health Financial Services;6/26/2000, Vol. 104 Issue 26, p7
Reports that the United States Securities and Exchange Commission proposed a rule that would require mutual funds to disclose their returns on an after-tax basis. Fear of the industry over the proposal; Principle of the rule.
- New Rules Might Leave Some VA/VL Funds Hurting. Puretz, Jeffrey S. // National Underwriter / Life & Health Financial Services;2/5/2004, Vol. 105 Issue 6, p47
Reports that the United States Securities and Exchange Commission adopted rules that will require mutual funds to hire counsel to their independent directors. How the rule came into being; Impact of the rules on corporate governance of mutual funds.
- SEC Proposes Requiring Funds to Disclose After-Tax Returns. Hume, Lynn // Bond Buyer;03/16/2000, Vol. 331 Issue 30850, p32
Focuses on United States Securities and Exchange Commission's approval of rules that would require mutual funds to disclose after-tax returns to investors. Enhancement of tax-exempt bond funds for investors; Significant costs of investing in mutual funds.
- Soon their names may mean something. Napach, Bernice // Medical Economics;04/28/97, Vol. 74 Issue 9, p19
Focuses on the US Securities and Exchange Commission's plan for more realistic mutual-fund names. Contents of the proposed guidelines and rules; Words that would be banned from use in mutual fund names; Goal of eliminating names that mislead investors.
- Fund execs see pitfalls in making disclosure statements simpler. Hensley, Scott // American Banker;8/25/1995, Vol. 160 Issue 164, p11
Reports on the US Securities and Exchange Commission's (SEC) plans to change the way investment risk is explained in fund prospectuses. Response to investor losses in traditionally safe fixed-income funds in 1994; Fund executives' question on the viability of mutual fund prospectuses.
- Soft dollars in harsh light. Anand, Vineeta // Pensions & Investments;9/19/1994, Vol. 22 Issue 19, p6
Reports on concerns over the Securities and Exchange Commission's plan to ask mutual funds to disclose `soft-dollar' arrangements between their advisers and brokerage firms. Opinions on the advantages and drawbacks of soft-dollar arrangements; Concerns over higher expenses that could result in...
- THE DARK SIDE OF FUND NAMES. PROCHNIAK, ANDREA L. // Fortune;4/29/1996, Vol. 133 Issue 8, p196
Informs that the Securities and Exchange Commission (SEC) will reexamine how mutual fund companies describe their funds to investors. Defining stricter requirements regarding how a fund outlines its investment strategy, risk level, and performance relative to an index being the goals of the...