House Panel to Ask SEC to Scrutinize Funds
- 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.
- SEC proposes to simplify fund prospectuses. de Senerpont Domis, Olaf; Seiberg, Jaret // American Banker;2/28/1997, Vol. 162 Issue 40, p2
Reports that the US Securities & Exchange Commission (SEC) has suggested to streamline guidelines on mutual fund prospectuses in the United States.
- SEC takes action to improve mutual fund disclosure. Hume, Lynn Stevens // Bond Buyer;03/11/98, Vol. 323 Issue 30348, p4
Focuses on US Securities and Exchange Commission's strategies to improve mutual fund disclosure in the United States. Approval of amendments to mutual fund registration forms that would essentially overhaul mutual fund prospectuses; Adoption of a rule requiring the use of plain English...
- SEC Considers New ETF Products. // Financial Planning;May2001, Vol. 31 Issue 5, p21
Reports that the United States Securities and Exchange Commission is considering to adopt the German model of stock exchange, where investors can take advantage of the managed exchange-traded funds (ETF). Concerns raised by finance educators regarding the model; Information on Barclays Global...
- SEC delays implementation of amended rule 17(f)5. Kentouris, Chris // Securities Industry News;03/01/99, Vol. 11 Issue 9, p7
Reports that the United States Securities and Exchange Commission has postponed until May 1, 1999 the effective date of changes to a rule governing the selection of foreign banks and depositories to safekeep United States mutual fund assets. 1997 changes to Rule 17(f)5 of the Investment Company...
- The SEC Tells What's Wrong With Mutual Funds. Kirk, John // Banking;Jan67, Vol. 59 Issue 7, p8
Focuses on a report on the mutual fund industry released by the U.S. Securities and Exchange Commission (SEC) in December 1966. Purpose and general conclusions of the study; Criticisms drawn by the effort; Reaction of SEC to the criticisms.