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	<title><![CDATA[safe harbor and sec Resources | BNET]]></title>
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	<description><![CDATA[White papers, case studies, business articles, and blog posts relating to safe harbor and sec]]></description>
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		<title><![CDATA[ICI to SEC: Make soft dollar rules equal for all; Ban use of commissions outside of 'safe harbor,' says fund group.(News)]]></title>
		<link><![CDATA[http://findarticles.com/p/articles/mi_hb4798/is_200609/ai_n17420880]]></link>
		<description><![CDATA[Byline: Sara Hansard       All advisers should have to abide by the same rules when it comes  to using so-called soft dollars, the major mutual fund industry trade  group told the Securities and Exchange Commission in a comment letter.    ...]]></description>
		<s:doctype><![CDATA[Research articles]]></s:doctype>
		<pubDate>Mon, 18 Sep 2006 00:00:00 -0700</pubDate>
		<category domain="http://resources.bnet.com/topic/commission.html"><![CDATA[commission]]></category>
		<category domain="http://resources.bnet.com/topic/mutual+fund.html"><![CDATA[mutual fund]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
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		<title><![CDATA[The Bank of New York Comments on New SEC Guidance on Soft Dollars; Preserving the safe harbor for research payments while tightening the definition of research strikes the right balance, according to Bank executives]]></title>
		<link><![CDATA[http://findarticles.com/p/articles/mi_m0EIN/is_2005_Oct_20/ai_n15724412]]></link>
		<description><![CDATA[NEW YORK -- The Bank of New York applauded the Securities and Exchange Commission's publication today of interpretive guidance on money managers' use of client commissions to pay for brokerage and research services under Section 28e of the Securities Exchange Act of 1934. The new guidance, which will become final...]]></description>
		<s:doctype><![CDATA[Research articles]]></s:doctype>
		<pubDate>Thu, 20 Oct 2005 00:00:00 -0700</pubDate>
		<category domain="http://resources.bnet.com/topic/bank.html"><![CDATA[bank]]></category>
		<category domain="http://resources.bnet.com/topic/payment.html"><![CDATA[payment]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
		<category domain="http://resources.bnet.com/topic/.html"><![CDATA[]]></category>
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		<title><![CDATA[SEC Rule Provides Safe Harbor Under Investment Company Act for Research and Development Companies]]></title>
		<link><![CDATA[http://findarticles.com/p/articles/mi_go1494/is_200309/ai_n9179468]]></link>
		<description><![CDATA[Article by Gordon H. Hayes, Jr., Jocelyn M. Arel, Mitchell S. Bloom, Jeffrey M. Held       Article by Gordon H. Hayes, Jr., Jocelyn M. Arel, Mitchell S. Bloom, Jeffrey M. Held ]]></description>
		<s:doctype><![CDATA[Research articles]]></s:doctype>
		<pubDate>Thu, 18 Sep 2003 00:00:00 -0700</pubDate>
		<category domain="http://resources.bnet.com/topic/r%2526d.html"><![CDATA[R&D]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
		<category domain="http://resources.bnet.com/topic/.html"><![CDATA[]]></category>
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		<title><![CDATA[SEC Adopts Safe Harbor for Research and Development]]></title>
		<link><![CDATA[http://findarticles.com/p/articles/mi_go1494/is_200308/ai_n9051801]]></link>
		<description><![CDATA[The Securities and Exchange Commission SEC recently adopted a new rule under the Investment Company Act of 1940 Act to provide a nonexclusive safe harbor from the definition of investment company for certain research and development companies (R      The Securities and Exchange Commission SEC recently...]]></description>
		<s:doctype><![CDATA[Research articles]]></s:doctype>
		<pubDate>Tue, 05 Aug 2003 00:00:00 -0700</pubDate>
		<category domain="http://resources.bnet.com/topic/r%2526d.html"><![CDATA[R&D]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
		<category domain="http://resources.bnet.com/topic/.html"><![CDATA[]]></category>
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		<title><![CDATA[SEC Adopts Safe Harbor for Research and Development Companies Under The Investment Company Act]]></title>
		<link><![CDATA[http://jobfunctions.bnet.com/abstract.aspx?docid=67967]]></link>
		<description><![CDATA[The article provides information about Rule 3a-8 which is particularly relevant for many biotechnology and other technology companies given it offers those companies qualifying as R&D Companies a new nonexclusive safe harbor from the regulatory requirements of the Act. Companies that raise significant amounts of capital invest the proceeds and...]]></description>
		<s:doctype><![CDATA[White papers]]></s:doctype>
		<pubDate>Fri, 01 Aug 2003 00:00:00 -0700</pubDate>
		<category domain="http://resources.bnet.com/topic/r%2526d.html"><![CDATA[R&D]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
		<category domain="http://resources.bnet.com/topic/agreement.html"><![CDATA[Agreement]]></category>
		<category domain="http://resources.bnet.com/topic/pillsbury+winthrop.html"><![CDATA[Pillsbury Winthrop]]></category>
		<category domain="http://resources.bnet.com/topic/research+%2526+development.html"><![CDATA[Research & Development]]></category>
		<category domain="http://resources.bnet.com/topic/business+operations.html"><![CDATA[Business Operations]]></category>
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		<title><![CDATA[SEC Creates Safe Harbor for R&D Companies Under the Investment Company Act]]></title>
		<link><![CDATA[http://findarticles.com/p/articles/mi_go1494/is_200307/ai_n9028608]]></link>
		<description><![CDATA[By David S. Rosenthal, Martin Nussbaum and Catherine Schultz       By David S. Rosenthal, Martin Nussbaum and Catherine Schultz ]]></description>
		<s:doctype><![CDATA[Research articles]]></s:doctype>
		<pubDate>Tue, 29 Jul 2003 00:00:00 -0700</pubDate>
		<category domain="http://resources.bnet.com/topic/r%2526d.html"><![CDATA[R&D]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
		<category domain="http://resources.bnet.com/topic/.html"><![CDATA[]]></category>
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	<item>
		<title><![CDATA[Business & Securities Litigator Vol.14 No. 2]]></title>
		<link><![CDATA[http://jobfunctions.bnet.com/abstract.aspx?docid=74966]]></link>
		<description><![CDATA[This issue includes different articles like Director Liability Warnings From Delaware, The SEC's First Regulation FD Enforcement Actions, The Second Circuit Sets Standards For PSLRA Sanctions, and Courts Adopt A Practical Construction Of The Reform Act's Safe Harbor For Oral Forward-Looking Statements. The first article talks that Chief Justice Veasey's...]]></description>
		<s:doctype><![CDATA[White papers]]></s:doctype>
		<pubDate>Sat, 01 Feb 2003 00:00:00 -0800</pubDate>
		<category domain="http://resources.bnet.com/topic/security.html"><![CDATA[Security]]></category>
		<category domain="http://resources.bnet.com/topic/forward-looking+statement.html"><![CDATA[Forward-looking Statement]]></category>
		<category domain="http://resources.bnet.com/topic/article.html"><![CDATA[Article]]></category>
		<category domain="http://resources.bnet.com/topic/sec.html"><![CDATA[SEC]]></category>
		<category domain="http://resources.bnet.com/topic/safe+harbor.html"><![CDATA[Safe Harbor]]></category>
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