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Wall Street & Technology
September 23, 2005
Anthony Guerra |
Follow the Leader The U.K.'s Financial Services Authority (FSA) finally issued its soft-dollar guidelines. Will the SEC take a page out of what the FSA has done? Probably.   |
The Motley Fool
July 14, 2006
Alex Dumortier |
SEC Soft on Soft Dollars The SEC clarifies what acceptable practice is when it comes to soft dollars. If you are a mutual fund or hedge fund investor, you'd be well advised to check your investment managers' policy regarding the use of soft dollars. |
Wall Street & Technology
March 26, 2004
Ivy Schmerken |
Regulators Play Hardball with Soft Dollars Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology. |
Financial Planning
January 1, 2006
Jane Worthington |
Soft Dollars: The SEC's New Guidelines The revised SEC interpretation of its safe harbor provision in October 2005 ended months of speculation among money managers as to whether soft dollars can still be used to purchase investment research. |
Wall Street & Technology
August 27, 2004
Ivy Schmerken |
Bracing for Disclosure of Soft Dollars The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research. |
Wall Street & Technology
September 20, 2006
Tim Clark |
A Hard Act to Follow Amid dwindling commissions and a resurgence in the use of soft dollars, commission recapture is becoming harder to quantify for financial services firms. |
Wall Street & Technology
January 24, 2006
Anthony Guerra |
Hard Times for Soft Dollars Changes to soft dollar practices are of interest to both sides of the Street since the tightening of the SEC's safe harbor clause -- which details what may be paid for with soft dollars -- will require the buy side to shell out hard dollars for more goods and services. |
Wall Street & Technology
April 26, 2005
Ivy Schmerken |
Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research. |
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. |
BusinessWeek
November 24, 2003
Kerry Capell |
Britain: Reform Fever Hits The City, Too Regulators want to end the cozy ties between fund managers and brokers. |
Financial Planning
March 1, 2007
Mike Suppappola |
Compliance Tips New Soft Dollar Rules: Is Your Firm Ready? |
The Motley Fool
December 8, 2005
Tom Taulli |
Fidelity Soft No More Payment via soft dollars is an age-old practice on Wall Street, but its days may be numbered. In fact, this week, Fidelity indicated that it will now pay for mutual fund research from Lehman Brothers. This is good for investors. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
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. |
BusinessWeek
April 5, 2004
Paula Dwyer |
Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling |
Wall Street & Technology
November 18, 2005
Larry Tabb |
The Sins of the Few The equity research model is not only broken, it is destroyed. In trying to clean up the research process, we have thrown out the baby with the bath water. |
Registered Rep.
August 1, 2004
Will Leitch |
A Soft Idea A new study asked CIOs at 72 asset management firms what they thought about the desirability of continuing to pay soft dollars, and whether they thought it was "feasible" to eliminate the practice. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
Wall Street & Technology
January 24, 2006 |
Table Set for Soft Dollar Software Growth New regulations in the United States and Europe are leading to heightened awareness of the largely unexplored commission-management software industry -- a market primed for major growth. |
Registered Rep.
June 29, 2004
Will Leitch |
Hard Questions at Soft-Dollars Conference Most of the conference's attendees, particularly smaller firms who have come to rely on the "soft" payments, were there to find out one thing: Can the practice be saved? |
The Motley Fool
October 27, 2004 |
Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
U.S. Banker
December 2004
Holly Sraeel |
The State of Financial Services, Now and Ahead The industry has seen record capital levels, with the top 25 bank holding companies growing faster than the sector as a whole. |
Financial Advisor
October 2004 |
SBPlanner Develops Bond Analysis Tool Advisors can use The Platinum Guru to help their clients... MassMutual announced a new Portfolio Audit and Account Review program for agents... Hedge Fund Evaluations... etc. |
Investment Advisor
May 1, 2011 |
More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state. |
The Motley Fool
February 9, 2010
Rick Aristotle Munarriz |
Even the E*TRADE Baby Learns to Limbo The E*TRADE Baby is shaking his rattle by lowering prices and slashing activity fees. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
Registered Rep.
August 1, 2004
Will Leitch |
No Soft Dollars? A Hard Pill To Swallow Attendees of the SIA Soft Dollars and Institutional Brokerage Conference seek to find if the soft-dollar payments practice in the brokerage industry can be saved. |
BusinessWeek
August 30, 2004
Amy Borrus |
Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
Registered Rep.
March 1, 2005
Will Leitch |
Warring Like It's 1999 Internet deals are back. So are IPOs. Just like 1999! As if to prove the point, online brokers have started new price wars. |
The Motley Fool
September 21, 2007
Rich Smith |
Quick Take: What's Furniture Brands' Game? Furniture Brands warns that sales will decline in Q3, but will the actual numbers come in better than expected, as they did in Q2? |
The Motley Fool
October 25, 2007
Dan Caplinger |
Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more. |
Financial Planning
April 1, 2011
Donald B. Trone |
Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so. |
Investment Advisor
July 1, 2011
Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Investment Advisor
April 2006
Elizabeth Festa |
A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors. |
The Motley Fool
February 6, 2008
Mary Dalrymple |
Marry a Broker You shouldn't settle for a broker just because of cheap rates. Look beyond the trading commissions and commit to a broker for the long haul. |
Registered Rep.
August 18, 2004
Will Leitch |
SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions. |
BusinessWeek
May 16, 2005
Amey Stone |
Still Outside Looking In Independent stock analysts hoped to cash in on the Spitzer pact. What went wrong? |
Investment Advisor
January 2007
Melanie Waddell |
Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University. |
Registered Rep.
April 26, 2007
John Churchill |
To Appeal or Not to Appeal? SEC Feels Heat Over Pro-FPA Court Ruling The SEC is feeling lobbyist pressure from both sides as it prepares to either appeal or let stand the ruling by a Federal Court of Appeals that vacated the "Merrill Lynch" rule. |
The Motley Fool
August 27, 2010
Selena Maranjian |
Don't Let Wall Street Win This Fight You can help the SEC benefit millions of individual investors. |
Bank Systems & Technology
July 5, 2004
Ivan Schneider |
SEC to Banks: Selling Securities? Get a License Industry convergence slowed by multiple regulators and accounting system limitations. |
Wall Street & Technology
February 14, 2006 |
Hedgies Open Their Wallets A new survey finding reflects the large camp of hedge fund managers that believes new SEC registration rules are only the first step in a broader regulatory framework envisioned by the SEC. |
BusinessWeek
December 6, 2004
Amy Borrus |
No More Breaks For The Big Board Why the SEC should stand by its plan to loosen the NYSE's hold on trading |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Investment Advisor
March 2008
Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. |
InternetNews
December 15, 2006
Roy Mark |
SEC Brings Proxies Online Shareholders will soon be able to find proxy statements and annual reports online, according to new voluntary rules approved this week by the Securities and Exchange Commission. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
