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373 Resources for

mutual fund and sec

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Mutual Fund: an investment company that sells shares to investors and invests for their benefit.; Mutual Fund definition on BNET »

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Independent directors scrutinize regulatory compliance burdens; Focus on Sarbanes-Oxley, other rules takes time away from 'more strategic areas'.(Mutual Funds): Byline: Sara Hansard WASHINGTON - Independent mutual fund directors are looking at targeted areas where rules could be made more efficient. Interviews with such directors back up findings of a PricewaterhouseCoopers LLP survey of participants at Byline: Sara Hansard ...; Tags: board, mutual fund, regulation, regulatory compliance, Sarbanes-Oxley Act, SEC; Research articles 2006-11-27
Mutual funds outgrow old corporate structure; Independent boards among topics for debate.(News): Byline: Sara Hansard WASHINGTON - Several organizations next year plan to recommend revisions to mutual fund regulations - ranging from allowing brokers to discount fund sales loads to abolishing the corporate structure of mutual fund compani Byline: Sara...; Tags: mutual fund, SEC; Research articles 2005-12-05
Hidden fund scandal: Ownership's true cost.(Other Views): Byline: Brent Brodeski Late trading; soft-dollar and directed-brokerage arrangements; board members who do the bidding of fund managers - these are just a few of the things Securities and Exchange Commission Chairman William H. Donaldson had Byline:...; Tags: mutual fund, SEC; Research articles 2004-08-16
Note to Cox: Rethink mutual funds.(Short Interests): Byline: Sara Hansard WASHINGTON - It is time for the entire structure of mutual fund regulation to be reviewed and updated. That was the advice given to Christopher Cox, the new Securities and Exchange Commission chairman,...; Tags: mutual fund, SEC; Research articles 2005-09-19
Independent fund directors look for more guidance on SOX; Compliance burden undermining strategy, many feel.(News): Byline: Sara Hansard WASHINGTON - Independent mutual fund directors are looking at targeted areas where rules could be made more efficient. Interviews with such directors back up findings of a PricewaterhouseCoopers LLP survey of partici ...; Tags: board, compliance, mutual fund, Sarbanes-Oxley Act, SEC, strategy; Research articles 2006-11-27

Fund prospectuses still need some work.(Editorial): It's time for the Securities and Exchange Commission and mutual fund industry to revisit prospectuses. The prospectuses must be made more useful, and more appealing, to help the average fund investor, especially the first-time investor, make It's...; Tags: investor, mutual fund, SEC; Research articles 2005-05-23
Briefs: SEC may still miss mutual fund abuses, GAO says.(Special Report: Mutual Funds): WASHINGTON - The SEC may again fail to detect trading abuses by mutual fund companies unless it develops a plan to routinely receive and review annual compliance reports from chief compliance officers at mutual fund companies, according to a GAO repo WASHINGTON - The SEC may...; Tags: compliance, fund company, General Accounting Office, mutual fund, SEC, Wells Fargo & Co.; Research articles 2005-05-02
SEC reporting deadline is a big burden.(Monday Morning): Byline: Jim Pavia As the editor of a weekly newspaper, deadlines are my life. If our staff members didn't do their jobs and hit deadlines, InvestmentNews wouldn't publish on time. To...; Tags: mutual fund, SEC, shareholder; Research articles 2006-10-02
SEC to take long look at short-selling; May lift restrictions on use of hedging by mutual funds.(News): Byline: Frederick P. Gabriel Jr. The Securities and Exchange Commission is pressing ahead with an investigation into whether mutual funds should be given freedom to make greater use of investment strategies such as short-selling. But the...; Tags: hedge fund, mutual fund, SEC; Research articles 2003-08-11
Egan-Jones to rate mutual funds; Aims to compete with the major ratings companies.(News): Byline: Sara Hansard WASHINGTON - With the market for credit-rating services opening up under a law recently signed by President Bush, a credit-rating firm not currently recognized by the Securities and Exchange Commission is planning to ente Byline:...; Tags: company, Morningstar Inc., mutual fund, SEC; Research articles 2006-10-09
Pension funds need a fraud alert system.(Other Views): Byline: Edward A. H. Siedle America's pension funds are being defrauded by their investment consultants, money managers, brokers, attorneys and actuaries or collusion between those parties because such funds lack procedures to detect and pr Byline: Edward A....; Tags: mutual fund, SEC, wrongdoing, pension fund; Research articles 2005-01-17
SEC shuts first firm in mutual fund inquiry.: Regulators have ordered the closure of a firm of financial advisers in an escalation of their investigation into the market-timing scandal sweeping across the US mutual funds industry.Security Trust, an Arizona-based company with $13bn ([pounds sterl Regulators have ordered the closure of a firm of financial...; Tags: mutual fund, SEC; Research articles 2003-11-26
Taking Sides: Letting funds hedge their bets can be a winner for investors.(Opinion): As reporter Frederick P. Gabriel Jr. writes elsewhere in this issue, the Securities and Exchange Commission is considering rule changes that would allow mutual funds to take some actions to hedge their portfolios. A modification such as this ...; Tags: investor, mutual fund, SEC; Research articles 2003-08-11
Seller beware; Mutual funds.(The SEC acts): The system of selling mutual funds finally becomes a target of regulators The system of selling mutual funds finally becomes a target of regulators; Tags: mutual fund, SEC; Research articles 2004-01-17
Mutual funds should boost their proxy roles.(Editorial): On Dec. 13, the Securities and Exchange Commission is scheduled to revisit the issue of opening the proxy process to shareholders. Chairman Christopher Cox and his fellow commissioners should take steps to make the process more open to shareho ...; Tags: board, investor, mutual fund, SEC, shareholder; Research articles 2006-11-06
Fund fraud rebate debate: Direct or indirect route? Two SEC members' views diverge.(News): Byline: Sara Hansard WASHINGTON - The Securities and Exchange Commission is considering returning all money collected from cases involving mutual fund violations directly to the funds where the violations occurred, rather than trying to track down Byline: Sara Hansard ...; Tags: commission, investor, mutual fund, SEC; Research articles 2006-02-27
Accountability? Mutual funds must come clean.(Opinion)(Column): Byline: Marc J. Lane The most powerful mutual fund companies in the country have banded together and mounted a vigorous public relations offensive. The object of the unlikely alliance: to thwart a Securities and Exchange Commission proposal that w Byline: Marc J. Lane...; Tags: accountability, mutual fund, SEC; Research articles 2003-01-06
Under pressure: Mutual funds face soft-dollar disclosure rule; SEC also talking about having managers 'gross up' their fees.(News): Byline: Vineeta Anand WASHINGTON - Pressure is mounting on securities regulators to require mutual fund companies to spotlight hidden soft-dollar arrangements between their money managers and brokerage firms. Mutual funds might be required to in Byline: Vineeta Anand ...; Tags: mutual fund, SEC; Research articles 2003-05-12
What to do? Regulators muddy waters in scandal; Sponsors look for guidance, end up with questions.(News)(mutual fund trading scandal ): Byline: Vineeta Anand WASHINGTON - The mutual fund trading scandal is bad enough. But now, regulators might be compounding the mess. For starters, a top Labor Department official is warning employers not to act too hastily in removing mutual fun Byline:...; Tags: administrator, mutual fund, SEC; Research articles 2003-11-24
Brokers, NASD finally find an issue on which they agree; FSI supports report of SRO task force on funds `in principle'.(News): Byline: Bruce Kelly NEW YORK - Officials at the Financial Services Institute are in accordance with an NASD task force's recommendations for a web-based point-of-sale mutual fund disclosure. Called Profile Plus, the Internet disclosure i ...; Tags: Internet, mutual fund, NASD, point-of-sale, SEC; Research articles 2005-04-11