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Registered Rep.
March 21, 2012
Diana Britton |
Money Market Debate Still Heated Despite SEC Call for `Constructive Dialogue' During the 2012 Mutual Funds and Investment Management Conference Monday, SEC Commissioner Elisse Walter called for the money market fund industry to stop taking shots in the media about any proposed regulations governing money market funds.   |
Financial Planning
February 1, 2012
Susan Ferris Wyderko |
Do No Harm In deciding what further rules should apply to money-market funds, the SEC and other regulators would do well to heed the old Latin maxim primum non nocere- first, do no harm. |
Registered Rep.
May 11, 2011
Diana Britton |
Money Market Reform Debate Rages On Regulators and industry participants continue to battle over what kinds of reforms should be made to money market funds. |
CFO
March 1, 2012
Vincent Ryan |
Where to Stash the Cash? As safe havens for short-term funds disappear, companies weigh whether to assume some risk in return for a modest yield. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
The Motley Fool
July 7, 2009
Jordan DiPietro |
Is Your Cash Really Safe? Don't take your eye off your money market mutual fund. Read on to see why. |
CFO
May 1, 2010
Vincent Ryan |
Weighing Your Next Move Finance executives who manage growing pools of idle cash can stand pat with their current investing strategies. Safety and liquidity require constant vigilance -- maybe even more so this year. |
FDIC FYI
May 19, 2004 |
Effects of Interest Rates on Money Market Mutual Funds The prolonged low interest rate environment has pressured returns on money market mutual funds (MMMFs). Although low rates are a boon to borrowers, the opposite, of course, is true for savers. |
The Motley Fool
July 15, 2004
Tim Beyers |
SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register. |
CFO
June 15, 2012
Vincent Ryan |
Desperate for Yield Treasurers are seeking the slightest pickup in returns on their short-term cash, provided the risk falls within corporate investment guidelines. |
Registered Rep.
November 24, 2015
Debbie Carlson |
Is There a Liquidity Risk in Liquid Alts? Alternative mutual funds are a fast-growing part of the investment space, pushed by asset management companies that are suffering from the larger secular shift away from active and higher-priced management toward index funds. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
BusinessWeek
November 26, 2007
Lauren Young |
Money-Market Funds: A Safety Check The recent credit crunch has raised the possibility that the $3trillion in money-fund assets may not be as well protected as we thought. |
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. |
BusinessWeek
June 18, 2009
Francis & Sasseen |
Financial Regulations: What Obama Wants The Administration's proposals for regulating the financial markets are wide-ranging. The question now: Are they tough enough? |
Financial Advisor
April 2004
Tracey Longo |
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly. |
Financial Planning
May 1, 2008
Elizabeth O'Brien |
Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
CFO
April 1, 2009
Vincent Ryan |
More Than Zero With short-term Treasury yields at rock bottom, companies are seeking higher returns for their cash. |
Investment Advisor
June 1, 2011
Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. |
U.S. Banker
November 2007
Lee Conrad |
Money-Market Funds Get a Boost From Bank Portals Internet portals offered by banks are on the verge of transforming the $1 trillion-plus institutional money-market marketplace by giving customers better access to their money and more flexibility in managing it. |
Financial Advisor
May 2004
Alan Lavine |
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales. |
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. |
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. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
Financial Advisor
April 2004
David J. Drucker |
Living With The Rules How to keep the SEC happy without going out of business. |
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. |
Financial Advisor
October 2012 |
Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground. |
The Motley Fool
May 14, 2004
Selena Maranjian |
Shareholders Take Action Here are some tips on how to make a difference with your holdings. |
Financial Advisor
October 2004
Evan Simonoff |
Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality. |
The Motley Fool
October 15, 2010
Bill Barker |
Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee. |
On Wall Street
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
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. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
Registered Rep.
March 1, 2008 |
Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. |
Financial Planning
March 1, 2011
Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors. |
BusinessWeek
December 3, 2007
Nanette Byrnes |
Proxies: The SEC's Stopgap Solution Chairman Cox indicates he'll vote against shareholder access to corporate proxies, but the agency will revisit the issue next year. |
BusinessWeek
December 30, 2009
Jesse Westbrook |
Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure. |
Registered Rep.
March 10, 2010
Jerry Gleeson |
New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect. |
The Motley Fool
August 27, 2010
Dan Caplinger |
A Disaster Waiting to Happen Paying up for funds that just give you your money back isn't smart. |
Investment Advisor
May 1, 2011
Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
Registered Rep.
April 1, 2008
Halah Touryalai |
Clients in Your Pockets Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved. |
Investment Advisor
August 2009 |
Group Think Reports from industry associations: SEC... Certified Financial Planner Board of Standards... The Investment Management Consultants Association... |
Registered Rep.
December 11, 2008 |
SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
Registered Rep.
December 2, 2004
John Churchill |
SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew? |
The Motley Fool
August 16, 2007
Dan Caplinger |
Big-Time Risk on Short-Term Money Short-term bond funds have been billed as an attractive substitute for money-market mutual funds. But as some investors are discovering, these funds aren't risk-free. Yields fluctuate, and you risk losing some principal. |
Registered Rep.
November 16, 2012
Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up. |
Registered Rep.
November 1, 2006
John Churchill |
Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006. |
