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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?
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.
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.
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.
Wall Street & Technology June 13, 2006	PFPC, STN Address Compliance As the October deadline for SEC Rule 22c-2 compliance nears, PFPC announced it will provide a Web-based monitoring tool that will give fund companies access to PFPC's more than 50 million broker-dealer subaccounts and SunGard's 43 million retirement subaccounts.
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.
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.
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).
Wall Street & Technology February 12, 2004 Jessica Pallay	Operation Mutual Fund The SEC is on a mission to bring order to the chaotic state of the mutual-fund industry.
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. 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.
BusinessWeek December 15, 2003 Paula Dwyer	Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington
Registered Rep. December 1, 2006 Stan Luxenberg	Payback Time Still As punishment for the market-timing scandals, the SEC and other enforcers collected fines from 20 fund companies. Four fund companies have filed plans with the SEC to distribute the cash to shareholders. But so far the money sits waiting until the plans are approved.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
Investment Advisor June 2007	News & Products SEC Chairman Christopher Cox said the SEC's examination of what goes into a 401(k) should be showing "progress" in the next few months... The ICI released a report May 7 revealing that Americans held a record $16.4 trillion in retirement assets... etc.
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
Entrepreneur August 2004 Julie Monahan	Payback Time Settlement dollars from the SEC crackdown on mutual fund malfeasance will reach millions. But will you get your fair share?
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.
The Motley Fool June 25, 2004 Tim Beyers	Fund Independence Day Yesterday, the Securities and Exchange Commission turned up the heat on the mutual fund industry by requiring that funds maintain a board of trustees that is at least 75% independent from management.
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.
Wall Street & Technology August 6, 2007 Melanie Rodier	Deliso Joins DTCC's Wealth Management Services Nicholas A. Deliso has joined The Depository Trust & Clearing Corp. as a senior relationship manager in the wealth management services area.
The Motley Fool August 18, 2004 Tim Beyers	Janus Loses $5 Billion Withdrawal woes continue to plague the mutual fund manager.
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.
CFO March 1, 2003 Tim Reason	Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed.
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.
Registered Rep. March 11, 2009 Halah Touryalai	Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
Wall Street & Technology July 18, 2006	Janis Capital Group Strengthens Workflows, Reporting and Access to Information SVP and CIO Andrea Young oversees the building of financial metrics and reporting systems to streamline workflows, information access and control over compliance, leading to lower total cost of ownership.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Wall Street & Technology February 19, 2008 Melanie Rodier	DTCC Streamlines Managed Accounts The Depository Trust & Clearing Corp. is launching the Managed Accounts Service, which provides an automated, centralized platform that will streamline communications among investment managers, sponsors and service providers.
The Motley Fool April 20, 2005 Nathan Slaughter	Is the Storm Over at Janus? The troubled mutual fund manager swings to first quarter gain but still sees net outflows.
The Motley Fool April 12, 2005 Rick Aristotle Munarriz	Getting in on the Outflow Mutual fund families suffered a dip in assets last month, but it could have been far worse. While Janus Capital Group and Franklin Resources each reported a dip for the month of March, the declines weren't as steep as those suffered by the S&P 500 and Nasdaq Composite.
The Motley Fool November 29, 2005 Rick Aristotle Munarriz	Janus Goes for a Facelift A magazine article suggests that the mutual fund company was ready to go private this summer.
Wall Street & Technology September 22, 2007 Melanie Rodier	Omgeo Board Adds Michael Bodson Bodson, executive managing director for business management, strategy and marketing for The Depository Trust & Clearing Corp. has joined the Omgeo board of managers.
The Motley Fool January 13, 2004 Selena Maranjian	The Fund Fee Fracas Are mutual fund fees too high?
The Motley Fool December 4, 2006 Dan Caplinger	10 Trillion Reasons to Invest Mutual funds keep raking in the money.
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.
Wall Street & Technology September 11, 2007 Larry Tabb	The Boston Equity Exchange (BEX) Calls It Quits It was the first of the regional exchanges (dealer-capitalized or not) to throw in the towel. But what does this mean? Is the Boston Stock Exchange dead? Is it valueless?