Oklahoma committee studies imposing limits as bond fees escalate
- Award of attorneys' fees before tax liability determined. // Practical Accountant;May95, Vol. 28 Issue 5, p19
Reports that motion for attorneys' fees and administrative costs related to jeopardy assessment proceeding may be made even before tax liability is determined.
- A decent price. McKenna, Ian // Money Marketing;5/13/2010, p46
The author comments on the impact of proposed three percent decency limits for initial adviser-charging and 0.5% per annum for ongoing advice by the Financial Services Authority (FSA) in Great Britain. The author mentions that these proposals are detrimental to the sector because once enforced,...
- Mass. Sets New Advisor Rules. Mitchell, Donna // American Banker;2/27/2012, Vol. 177 Issue 30, p2
The article notes the Massachusetts Securities Division adopted rules for private investment funds' advisers that are based on a model passed by the North American Securities Administrators Association in December 2011.
- Fed amends investment adviser regulation. Rehm, Barbara A. // American Banker;8/29/1996, Vol. 161 Issue 166, p2
Reports on the US Federal Reserve Board's adoption of a final amendment to its interpretive rule governing investment adviser activities under Regulation Y. Decision against requiring holding companies to give fiduciary customers written disclosures of adviser status.
- Investment advisers may be more forthcoming. Rose, Joan R.; Potter, Debra // Medical Economics;5/22/95, Vol. 72 Issue 10, p13
Reports on the Securities and Exchange Commission's proposed rule which requires professional investment advisers to disclose the services covered by the brokerage fees. Rule's provisions.
- How Planners Will Be Affected by New Investment Adviser Regulatory Scheme. Bell III, F. Daniel; Applewhite, Thomas D. // Journal of Financial Planning;Feb1997, Vol. 10 Issue 1, p98
Focuses on the potential impact of the Securities & Exchange Commission's (SEC) proposed investment adviser (IA) rules for 1997. Nation
- I'm an investment adviser -- you're kidding? Scott, Nick // NZ Business;Oct97, Vol. 11 Issue 9, p52
Examines the Investment Advisers (Disclosure) Act 1996 of New Zealand, and its effects on companies. Effect on the employee which carries out an investment activity; Mandatory disclosure required by the Act; Results of not complying with the Act.
- Voting rights for fund managers. Berger, Matthew // Asian Business Review;Jun96, p16
Reports on the Australian Securities Commission's announcement of plans to provide trustee fund managers with greater control and power over the votes of the shares they hold.
- From Goldfarb to Where. // American Bar Association Journal;Aug75, Vol. 61 Issue 8, p965
Discusses the United States Supreme Court's decision in the Goldfarb case which upheld that fee schedules established by bar associations are invalid under the federal antitrust laws when charged in connection with services that are in the flow of interstate commerce. American Bar Association's...