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- Investment Company
- a company that pools for investment the money of several investors.
- Investment Company definition on BNET »
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- SEC
- Some investment companies have more fiduciary responsibilities under new Securities and Exchange Commission rules. The rules require buyside firms to have new compliance programs to prevent a rehash of the recent market timing scandals. More broadly, the Some investment companies have more fiduciary responsibilities under new Securities and Exchange Commission...
- Research articles 2004-02-01
- SEC Approves Adoption of Rules Relating to Attorney Ethics and Proxy Voting:
- Co-authored by Ashley WakefieldRules Define Standards of Professional Conduct for Attorneys and Impose Requirements Relating to Proxy Voting by Investment Companies and Investment Advisers Co-authored by Ashley WakefieldRules Define Standards of Professional Conduct for Attorneys and Impose Requirements Relating to Proxy Voting by Investment...
- Research articles 2003-05-14
- SEC: Buysiders Must Do More.(Brief Article)
- Some investment companies have more fiduciary responsibilities under new Securities and Exchange Commission rules. The rules require buyside firms to have new compliance programs to prevent a rehash of the recent market timing scandals. More broadly, Some investment companies have more fiduciary responsibilities under new...
- Research articles 2004-02-01
- SEC Adopts Final Rule Implementing Sarbanes-Oxley Prohibition Regarding Improper Influence on Conduct of Audits.
- The SEC adopted amendments (the "Amendments") to Rule 13b2-2 under the Securities Exchange Act of 1934 (the "Exchange Act") to prohibit any officer or director of an issuer, and any person acting under their direction, from taking any action to improperly The SEC adopted amendments...
- Research articles 2003-05-28
- Governance regs don't fit us, fund firms say; Operating companies face less scrutiny.(America's Investment)
- Byline: Sara Hansard The mutual fund industry is concerned that proposals to strengthen corporate governance in operating companies aren't appropriate for fund companies. In comments filed last month with the Securities and Exchange Com ...
- Research articles 2003-05-12
- Mixed reaction follows SEC proposal on investment act. (update of the Investment Company Act of 1940)
- Life insurance and mutual fund companies had mixed reactions to proposals by the Securities and Exchange Commission to update the Investment Company Act of 1940. The proposal called for 'participant-directed defined contribution plans' to be chronicled unLife insurance and mutual fund companies had mixed reactions to proposals by the Securities...
- Research articles 1992-06-01
- SEC details plan to update the Investment Company Act. (Securities and Exchange Commission)
- The Securities and Exchange Commission has issued a report containing recommended changes to the Investment Company Act. The changes include lifting fee restrictions on variable insurance issuers and requiring participant-directed defined contribution plaThe Securities and Exchange Commission has issued a report containing recommended changes to the Investment Company Act. The...
- Research articles 1992-06-01
- A solid first step. (Security and Exchange Commission proposal to update Investment Company Act of 1940) (Editorial)
- The life insurance industry may benefit from the Security and Exchange Commission's SEC report proposing a revision of the Investment Company Act of 1940. The SEC's proposals may allow a wider variety and more realistic pricing of variable life productsThe life insurance industry may benefit from the Security and Exchange...
- Research articles 1992-06-29
- SEC launches exam hotline for advisers; They welcome initiative, as inspections have gotten more frequent.(News)
- Byline: Sara Hansard WASHINGTON - The Securities and Exchange Commission has set up a hotline for investment advisers and investment companies to report complaints about examinations. Lori Richards, director of the SEC's office of compli ...
- Research articles 2005-03-21
- SEC Amends Registered Investment Company Advertising Rules.
- The SEC issued a release adopting amendments to rules under the Securities Act of 1933 (the "1933 Act"), the Securities Exchange Act of 1934 and the Investment Company Act of 1940 (the "1940 Act") that govern investment company advertisements. These amend The SEC issued a...
- Research articles 2003-10-08
- Brantley duo to start new firm with IPO. (Brantley Venture Partners; initial public offering)
- After raising more than $90 million from corporate and public pension funds for three investment funds over the past decade, Brantley Venture Partners' founder Robert P. Pinkas is ready to tap the public. Stock in Brantley Capital Corp., formed by Mr. After raising more than $90 million...
- Research articles 1996-11-25
- Investment Management Update: SEC Takes Action on Fund Advertising, ‘Fund of Funds' Rules
- The Securities and Exchange Commission revised the rules restricting advertising by investment companies, and proposed relaxing the rules that govern investment companies' ability to invest in other investment companies. Article explains Mutual Fund Advertising Rules that states that the revisions eliminate the requirement that advertisements subject to Rule 482 of...
- White papers 2003-10-01
- SEC Approves New Rule on Internal Control Reporting
- The Securities and Exchange Commission has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also voted to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...
- White papers 2003-05-30
- SEC Implements Internal Control Provisions Of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor
- The Securities and Exchange Commission's has voted to adopt rules concerning management's report on internal control over financial reporting and certification of disclosures in Exchange Act periodic reports. The Commission also consider to adopt new Rule 3a-8 under the Investment Company Act to provide a nonexclusive safe harbor from the...
- White papers 2003-01-22
- Capital Markets Regulatory Highlights Vol. 5
- This article includes: SEC issuing rules implementing the Sarbanes-Oxley Act; Proposed rule on SAR reporting for mutual funds; Report to Congress on applying the USA Patriot Act to investment companies; NASD notice to members regarding sale of hedge funds to retail investors; and SEC final rule on transactions of investment...
- White papers 2003-01-31
- Capital Markets Regulatory Highlights: February 2003
- This article provides insight on current regulatory issues including: SEC Final Regulation Analyst Certification; SEC Proposed Rules Regarding Compliance Infrastructure at Investment Advisers and Registered Investment Companies; Federal Reserve Interpretation Regarding Foreign Bank Underwriting of Securities Distributed in the U.S.; SEC Final Rule Addressing Bank Exemption from Dealer Registration; SEC...
- White papers 2003-02-28
- SEC Compliance Program Rules For Investment Companies And Investment Advisers
- As investment companies and investment advisers move into their third year of compliance with the Securities and Exchange Commission (SEC's) new rules, the continuing attention by regulators on compliance programs, along with the increasing complexities of portfolio investments and investment management operations, requires sophisticated responses. Many firms are providing such...
- White papers 2008-10-01
- Final Rule: Investment Company Mergers
- The US Securities and Exchange Commission is planning to amend the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated investment companies. The amendments would expand the types of business combinations permitted by the rule and make it available for mergers...
- White papers 2002-07-18
- SEC Adopts Rule Requiring Disclosure About Nominating Committees and Communications Between Shareholders and Directors
- Article narrates the rule adopted by SEC for nominating committees and communications between shareholders and directors of the organization. It talks about the changes adopted by SEC to the Proxy Rules to "enhance the transparency of the operation of boards of directors. The new rule requires a statement as to...
- White papers 2003-12-01
Additional Resources
- SEC Sues Value Line Inc. and Two Senior Officers for $24 Million Fraudulent Scheme
- Washington, D.C., Nov. 4, 2009 — The Securities and Exchange Commission today charged New York City-based investment adviser Value Line Inc., its CEO, its former Chief Compliance Officer and its affiliated broker-dealer with defrauding the Value Line family of mutual funds by charging over $24 million in bogus brokerage commissions...
- News items 2009-11-04
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