| Similar Articles |
|---|
 |
Registered Rep.
November 18, 2003
Will Leitch |
Senate Committee Hears Testimony about Fund Industry Each day seems to bring more news from the mutual fund industry. And industry reform is in the air. The climate is such that on Capitol Hill today even the mutual fund industry's lobbying group had to eat some crow.   |
Registered Rep.
February 18, 2004
John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold. |
Investment Advisor
October 2009
Melanie Waddell |
Danger & Opportunity: Financial Services Reform Bill Inevitable Financial services reform is still alive and kicking, as President Obama made very clear as he renewed his push for reforms during his speech to Wall Street. |
Registered Rep.
September 1, 2004
John Churchill |
Hidden Market-Timers A new study of mutual fund firms' enforcement capabilities affirms what many in the industry have known for some time --- omnibus accounting practices by fund intermediaries make catching timers virtually impossible. |
The Motley Fool
March 19, 2004
Whitney Tilson |
The Disgrace of Soft Dollars Massachusetts Financial Services Co. (MFS), the oldest and 11th-largest mutual fund company, announced this week that it has stopped paying brokers in "soft dollars." I can hear the yawns across America, but this is an important issue because investors are being bilked out of billions. |
Investment Advisor
June 2010
Melanie Waddell |
Next Steps for Congressional Action Reconciliation of reform bills looms. Will Schapiro get fiduciary authority she wants? |
The Motley Fool
September 6, 2006
Dan Caplinger |
Fend Off Fund Fees: Part 2 Here are more tips to save cash by avoiding unnecessary mutual fund fees. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
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. |
The Motley Fool
February 4, 2004
Selena Maranjian |
Mutual Funds and 12b-1 Fees Are you paying counterproductive fees? |
The Motley Fool
February 18, 2004
Robert Brokamp |
The Fund Fees You Don't See A study shows that almost half of shareholder costs are undisclosed or nearly impossible to find. While the recent mutual fund scandals raise serious questions about whom we should trust with our money, the actual dollar cost to most individual investors isn't that high. There are far more significant ways funds siphon off our dollars. And they're just as hidden. |
Registered Rep.
February 17, 2010
Kristen French |
Uniform Fiduciary Standard Still A Question Mark The fiduciary issue is not one of the major sticking points in wrangling over legislation; the big issues are banking regulations, systemic risk, credit rating agency reform, derivatives, executive compensation, and the Consumer Protection Agency. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
BusinessWeek
November 10, 2003
Dwyer & Borrus |
The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules. |
Investment Advisor
July 2009
Melanie Waddell |
Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care. |
CIO
July 1, 2004
Elana Varon |
Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain. |
Registered Rep.
August 10, 2004
John Churchill |
Hidden Market-Timers A new study of mutual fund firms' enforcement capabilities affirms what many in the industry have known for some time---that omnibus accounting practices by fund intermediaries make catching timers virtually impossible. |
On Wall Street
September 1, 2011
Sasha Franger |
The Ups and Downs of Money Market Funds Money market funds traditionally have been both a safe vehicle for investors to store money and important to the economy because they generate short-term capital. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
The Motley Fool
August 24, 2007
Amanda B. Kish |
Fund Fees Under the Magnifying Glass Make sure you know how much you're paying for your fund. |
Registered Rep.
May 18, 2004
John Churchill |
The Only Game in Town Survey shows a majority of investors still think mutual funds provide the best opportunity for a diversified portfolio, and many do not think the mutual fund improprieties are widespread across the industry. |
Investment Advisor
July 2006 |
Changes The SEC announced that Susan Ferris Wyderko, director of the Office of Investor Education and Assistance, will leave the Commission... President Bush has nominated Kathleen Casey to replace SEC Commissioner Cynthia Glassman... |
Registered Rep.
April 27, 2010
Kristen French |
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. |
The Motley Fool
August 26, 2004
Robert Brokamp |
My Fund Manager Ate My Retirement! How much of your investment is consumed by your mutual fund's expenses? |
AFP eWire
July 3, 2006 |
Charitable Reforms Tacked on to Telephone Excise Tax Repeal Act The Senate Finance Committee has added numerous charitable reform provisions, including new disclosure requirements to S. 1321. |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
Wall Street & Technology
October 26, 2005 |
Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years. |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
InternetNews
June 16, 2010 |
Sens. to Mark Up Cybersecurity Bill Next Week Leaders of the Senate Committee on Homeland Security and Governmental Affairs pledge to bring week-old cybersecurity bill to a markup next week, hope for passage this year. |
BusinessWeek
September 22, 2003
Der Hovanesian et al. |
How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done. |
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. |
Registered Rep.
March 11, 2010
Kristen French |
Dodd to Introduce Financial Regulatory Overhaul Bill Monday, without Republican Support He's still hopeful that negotiations with Republican Senators will prove successful. |
AskMen.com
Luis Rodrigues |
Mutual funds With interest rates remaining as low as they are, more and more people are looking towards the stock market to earn a higher return on their money investing. |
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. |
Investment Advisor
November 2007
Melanie Waddell |
On the Agenda: Insurance and Ratings Congress looks at insurance reform and the subprime mess. |
Registered Rep.
January 7, 2004 |
ICI Fires Back on Mutual Fund Fee Issue The Investment Company Institute has responded in kind to a recent study that found that mutual fund investors shoulder exorbitant management fees. |
Registered Rep.
December 2, 2003
Will Leitch |
Spitzer, OCC Issue Corporate Death Penalty The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear. |
Investment Advisor
April 2010
Melanie Waddell |
Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
The Motley Fool
January 11, 2010
Jennifer Schonberger |
A Rough New Year for Congress Let's preview the political implications for financial regulatory reform and the market. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
The Motley Fool
May 7, 2008
Selena Maranjian |
Time to Deep-Six 12b-1 Fees? Be on the lookout for these mutual fund fees, which do more harm than good. |
Financial Advisor
April 2004
Tracey Longo |
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly. |
Registered Rep.
June 25, 2004
David A. Gaffen |
Advisor Concern and Heated Exchanges at Morningstar Conference While most advisors interviewed at the conference were hopeful that they could weather the recent spate of mutual fund-related scandals, it doesn't mean that they, or their clients, are happy about recent events. |
Investment Advisor
July 1, 2011
Tom Lydon |
ETFs At Last: The Future of 401(k)s Exchange-traded funds are beginning to attract greater attention for participant-directed individual account plans. |
Registered Rep.
March 2, 2010
Kristen French |
Senate Nears Deal, Consumer Protection At The Fed Circulated Monday by Chris Dodd, Senate banking committee chairman, the latest proposal would house a semi-autonomous consumer protection agency inside of the Federal Reserve, according a story in the Financial Times. |
The Motley Fool
January 7, 2004 |
Beating the Market Can an actively managed mutual fund consistently post market-beating returns? |
Entrepreneur
August 2005
Scott Bernard Nelson |
Going Down? Some mutual fund companies are reducing their fees. If your questions are how much and why, read on. |
The Motley Fool
May 12, 2005
Selena Maranjian |
Something Smells in Mutual Fund Land One good strategy for mutual fund investors, given the state of expense fees these days, is to make sure you're investing in top-notch funds. Anything less will mean that the fees eat up a greater percentage of the total return. |
On Wall Street
June 1, 2011
Tom Roseen |
Performance Drags: A Curse To Wealth Accumulation Loads, expenses and taxes can have a significant impact on fund returns over the long haul. |
