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Investment Advisor
July 2009
Savita Iyer-Ahrestani |
Retirement Planning: Fund Firms Get Ahead of Summary Prospectus Deadline Experts believe the SEC will soon extend the summary prospectus requirement to variable annuities.   |
Investment Advisor
January 2008 |
Group Think The SEC published a prototype summary prospectus for mutual funds, and has asked for public comment from investors... To help evaluate industry designations, The American College has developed a Designation Toolkit... etc. |
Registered Rep.
April 7, 2005
Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice. |
Financial Advisor
May 2004
Alan Lavine |
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales. |
The Motley Fool
October 12, 2009
Selena Maranjian |
Cheating Just Got Easier Mutual fund "summary prospectuses" might be just the shortcut you're looking for. |
Registered Rep.
January 9, 2007
John Churchill |
To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home. |
Investment Advisor
April 2010 |
Group Think Updates from SEC, IRI, and MDRT: SEC announces Chief Economist James A. Overdahl will leave the agency... The Insured Retirement Institute has released a survey which found that 90% of consumers would read their prospectus if it was provided as a short summary rather than in full detail... more... |
The Motley Fool
February 23, 2004
Selena Maranjian |
Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
Investment Advisor
July 2009 |
Upgrades What's going on: Pershing LLC has rolled out its NetX360 technology platform... Kohlberg Kravis Roberts announces an agreement with Fidelity Investments... Vanguard plans to merge funds... Laserfiche introduces Avante... more... |
Investment Advisor
June 2007
Melanie Waddell |
SEC Furthers Tool for Investors, While Frank Plans Hearings The SEC is working on an interactive system using the computer language called XBRL that's designed to give investors the tools they need to more easily compare mutual funds. |
Financial Planning
March 1, 2007
Lynn Hume |
The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies. |
Investment Advisor
September 2008
Melanie Waddell |
Disclosure Time The timeline of the Department of Labor's proposed rule on 401(k) plan fee disclosure seems too aggressive. |
The Motley Fool
October 15, 2010
Bill Barker |
Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee. |
The Motley Fool
July 15, 2004
Tim Beyers |
SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
Investment Advisor
May 2009 |
B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud... |
Investment Advisor
September 2009
Melanie Waddell |
Alternative Uptick Rule The SEC is seeking public comment on an alternative approach to short-selling price test restrictions. |
Registered Rep.
February 22, 2005
Will Leitch |
SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately. |
Financial Planning
July 1, 2008
Jane Worthington |
Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination. |
Registered Rep.
June 2, 2004
Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one. |
Registered Rep.
July 24, 2007
John Churchill |
SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers. |
The Motley Fool
June 30, 2005
Tom Taulli |
IPOs Quiet No More The SEC can agree on some things, such as allowing companies to say more during an offering. So, how does this help investors? |
Financial Advisor
July 2006
Tracey Longo |
Advisors In The Spotlight A recent Investment Company Institute conference reveals financial advisors are the top source of investors' fund purchases. |
Registered Rep.
November 24, 2015
Debbie Carlson |
Is There a Liquidity Risk in Liquid Alts? Alternative mutual funds are a fast-growing part of the investment space, pushed by asset management companies that are suffering from the larger secular shift away from active and higher-priced management toward index funds. |
Financial Advisor
June 2005
Darwin K. Abrahamson |
Avoiding Redemption Fees In 401(k) Plans Since it's indisputable that redemption fees are becoming entrenched within mutual funds at an accelerated pace, an obvious solution to avoiding redemption fees altogether is to invest in exchange-traded funds (ETFs). |
Registered Rep.
November 3, 2003
Will Leitch |
Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds. |
Investment Advisor
June 2008
Melanie Waddell |
A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
The Motley Fool
June 25, 2004
Tim Beyers |
Fund Independence Day Yesterday, the Securities and Exchange Commission turned up the heat on the mutual fund industry by requiring that funds maintain a board of trustees that is at least 75% independent from management. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Registered Rep.
March 21, 2012
Diana Britton |
Money Market Debate Still Heated Despite SEC Call for `Constructive Dialogue' During the 2012 Mutual Funds and Investment Management Conference Monday, SEC Commissioner Elisse Walter called for the money market fund industry to stop taking shots in the media about any proposed regulations governing money market funds. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Investor Distrust According to a recent survey, less than one-third of U.S. households agree that their mutual fund companies can be trusted to advertise honestly, outperform their competitors or even do the right thing. |
Information Today
January 5, 2009 |
SEC Approves Requirement of Interactive Data for Financial Reporting With interactive data, all of the facts in a financial statement are labeled with unique computer-readable "tags," which function like bar codes to make financial information more searchable on the internet. |
Registered Rep.
May 21, 2004
Will Leitch |
Roye Blasts Revenue Sharing at ICI Conference; Strong Settles The SEC's director of its investment management division delivered perhaps his strongest remarks yet on mutual fund malfeasance. |
U.S. Banker
December 2004
Lee Conrad |
Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials. |
CFO
March 1, 2003
Tim Reason |
Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
The Motley Fool
January 7, 2004 |
Beating the Market Can an actively managed mutual fund consistently post market-beating returns? |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
Registered Rep.
February 27, 2004
David A. Gaffen |
Regulators, Industry Still Divided On Mutual Funds David Brown, bureau chief of investment protection in the New York Attorney General's office, said insurance companies who sold mutual funds wrapped in variable annuities, along with banks and law firms, may end up becoming targets of Eliot Spitzer's ire in coming months. |
Financial Advisor
April 2004
Tracey Longo |
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly. |
The Motley Fool
December 22, 2009
Selena Maranjian |
Who Owns Most of the Market? Remember that even though mutual funds hold huge chunks of companies, the real owners of the shares are us. If we don't assert our rights, no one's going to do it for us. |
Registered Rep.
April 26, 2007
John Churchill |
To Appeal or Not to Appeal? SEC Feels Heat Over Pro-FPA Court Ruling The SEC is feeling lobbyist pressure from both sides as it prepares to either appeal or let stand the ruling by a Federal Court of Appeals that vacated the "Merrill Lynch" rule. |
The Motley Fool
August 27, 2010
Selena Maranjian |
Don't Let Wall Street Win This Fight You can help the SEC benefit millions of individual investors. |
Investment Advisor
November 2005
Melanie Waddell |
The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working? |
The Motley Fool
October 27, 2004 |
Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
Registered Rep.
November 16, 2004
John Churchill |
You Forgot the Prospectus The New York Stock Exchange's regulatory arm is flexing its muscle, hoping to squeeze confessions out of Wall Street firms that failed to deliver prospectuses to customers. |
