A Rant on RAND
- Deconstructing Rand. Veres, Bob // Financial Planning;Mar2008, Vol. 38 Issue 3, p37
The author reflects on the Rand Corporation's 2008 report "Investor and Industry Perspectives on Investment Advisers and Broker-Dealers." It is stated that numerous scandals have reached the financial headlines in the past that resulted to the Investment Advisers Act of 1940. Reportedly, the...
- A new threat to independence. Asnes, Marion // Financial Planning;Feb2008, Vol. 38 Issue 2, p18
The author argues that financial planners will continue to face challenges to its independence, as exemplified by a report on brokers, broker-dealers and investment advisors prepared by the Rand Corp. for the U.S. Securities and Exchange Commission (SEC). She asserts that Rand Corp. researchers...
- One Step Forward and Two Steps Backward at the SEC? Hilke, John C. // Journal of Accounting, Auditing & Finance;Spring88, Vol. 3 Issue 2, p171
Examines key issues and developments relevant to the deregulation of performance advertising by the U.S. Securities and Exchange Commission. Consumer information about mutual fund performance; Types of specific performance information in financial advertisements; Regulations for investment...
- Actively Managed ETFs? // Practical Accountant;Jan2002, Vol. 35 Issue 1, p18
No abstract available.
- SEC to Circuit Break ETFs, More Stocks. // Money Management Executive;7/12/2010, Vol. 18 Issue 28, p4
The article reports on the plan of the U.S. Securities and Exchange Commission (SEC) to expand its circuit-breaker program including all stocks in the Russell 1000 Index and some exchange-traded funds.
- Warning of Crisis, Democrats Urge Doubling SEC's Budget. Hume, Lynn // Bond Buyer;3/12/2002, Vol. 339 Issue 31342, p4
Reports the warning of the U.S. Securities and Exchange Commission on a 'severe funding crisis.' Calls for an increase in the budget for the commission; Need for improvement of enforcement, accounting and corporation finance staff in the commission; Impact of the collapse of Enron Corp.
- Resource Capital Fund Nears Cap. MacFadyen, Ken // Mergers & Acquisitions Report;4/19/2010, Vol. 23 Issue 16, p3
The article reports that Resource Capital Associates is nearing the final close for its fifth private equity fund in the U.S. after collecting 950 million U.S. dollars of its targeted 1 billion U.S. dollars, based on a filing with the U.S. Securities and Exchange Commission (SEC).
- Bush Administration Requests $437.9M in Spending for SEC. Hume, Lynn // Bond Buyer;04/10/2001, Vol. 336 Issue 31115, p6
Reports that President George W. Bush's administration has requested 437.9 million dollars in spending authority for the United States Securities and Exchange Commission for fiscal 2002. Cuts in authorized staff positions.
- From the Editor. Anton, Hector R. // Journal of Accounting, Auditing & Finance;Summer86, Vol. 1 Issue 3, p172
This article discusses the role of the U.S. Securities and Exchange commission (SEC) and other means of enforcing proper implementation of accounting principles. Communication with the SEC runs the gamut from enforcement action to conversations with the staff. Indeed, the great ease of informal...