Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

Registered Rep. September 1, 2005 Stan Luxenberg	Gray Matter When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the matter is getting murkier.
Registered Rep. August 8, 2005 Stan Luxenberg	CIBC and the Murky Waters of Mutual Fund Enforcement When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the saga has begun to appear murkier.
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. 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.
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.
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?
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
The Motley Fool March 22, 2004 Shannon Zimmerman	Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds.
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.
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 July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
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. January 13, 2006 Halah Touryalai	SEC Displays Enforcement Commitment in Leveling Record Penalty Daniel Calugar, a former Las Vegas stock trader, settled with the SEC regarding charges involving market timing and late trading of mutual funds. The settlement will require him to pay a record $153 million in penalties.
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. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
Registered Rep. March 16, 2006 John Churchill	Bear Stearns Fined $250 Million for Securities Fraud The SEC's investigation found that from 1999 through September 2003, the firm provided technology, advice and deceptive devices that helped market timers and late traders evade the firm's own systems as well as those of mutual funds.
Registered Rep. January 1, 2006 Kevin Burke	Spitzer Hints Scandal Is Winding Down While Spitzer remains tight-lipped on the status of the industrywide trading investigation he launched in September 2003, he hinted that it is perhaps nearing the finish line.
The Motley Fool July 29, 2004 Selena Maranjian	Beware of Redemption Fees There's an almost-reasonable fee funds charge, but don't get caught by it.
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 January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
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.
Registered Rep. April 1, 2005 Stan Luxenberg	A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest.
BusinessWeek March 8, 2004 Anne Tergesen	Revealing Redemption Rates Worried that market timers are monkeying with your mutual fund? Here's one way to check for red flags
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.
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.
Wall Street & Technology June 4, 2004 Jessica Pallay	Fund Fixes Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Registered Rep. November 1, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals -- and the first target of Spitzer to say no to a plea offer -- has settled with the SEC.
BusinessWeek November 10, 2003 Jeffrey M. Laderman	Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
Registered Rep. April 1, 2006 Stan Luxenberg	To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
The Motley Fool October 18, 2010 Dan Caplinger	It's Time to Take Back Your $10 Billion Whether you think 12b-1 fees are bilking investors or a fair way to compensate financial professionals, the SEC needs your opinion.
Registered Rep. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.
Registered Rep. June 1, 2005 John Churchill	SEC to Lose Its Head Some say the departure of SEC Chairman William Donaldson, appointed by President George W. Bush to help restore confidence in scandal-ridden markets, can't result in anything positive for the Commission's agenda in the near future.
Registered Rep. October 13, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, the former broker at Banc of America Securities (BAS) and poster boy for the market-timing scandals, agreed to pay a $200,000 fine and to accept a five-year ban from the securities industry.
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.
Registered Rep. May 1, 2004 Ilana Polyak	Trading Stocks Without the Chatty Cathys Mutual funds have hidden expenses because their large trades can move a stock's price before the transaction is complete. Intermediaries like Liquidnet seek to eliminate the problem.
The Motley Fool January 13, 2004 Selena Maranjian	The Fund Fee Fracas Are mutual fund fees too high?
The Motley Fool November 15, 2010 Dan Caplinger	Stop This Dumb Fee Once and for All 12b-1 fees are a relic of a dying breed of mutual funds.
Registered Rep. July 20, 2007 Christina Mucciolo	SIFMA Says Keep the 12b-1 Fees, Ad Infinitum The securities industry is fighting tooth and nail to save 12b-1 fees, which it says are a necessary part of doing business.
BusinessWeek September 22, 2003 Anne Tergesen	How Traders Play the Timing Game Finance professor Jason Greene explains why this technique hurts buy-and-hold fund investors and how to protect yourself
BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
Registered Rep. January 1, 2005	The Wrong Medicine? The SEC's requirement that mutual fund boards be stocked with more independent executives met with jeers when it was passed last year. Now, the raspberry blowers have some research to back up their disdain.
Registered Rep. December 1, 2004 Stan Luxenberg	Is the Juice Worth the Squeeze? The overhaul of the mutual fund industry spearheaded by Eliot Spitzer is widely viewed as a victory for investors, but some analysts are challenging that notion.
CFO February 1, 2006 Alix Nyberg Stuart	Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach?
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
Financial Planning October 2, 2007 Jeff Auld	Save 12b-1 Fees Independent reps and smaller clients will suffer if the SEC decides to cut this form of compensation.