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CFO March 1, 2012 Vincent Ryan	CFOs Cast a Wary Eye on Money-Market Changes New SEC proposals offer protections, but at a cost.
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.
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
Registered Rep. January 12, 2011 Diana Britton	Advisors Back Liquidity Bank Proposal For Money Market Funds, With Some Caveats The Investment Company Institute sent a letter to the Securities and Exchange Commission Monday pushing for the liquidity facility as the best solution for propping up 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.
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.
Financial Planning October 1, 2010 Donald Jay Korn	A Bigger Slice Of all the challenges that the fund industry has faced and still faces, a stagnant stock market may be the most serious.
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.
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.
Registered Rep. July 1, 2005 Stan Luxenberg	Killing It Softly Under departing Chairman William Donaldson, one of the SEC's most decisive actions received little attention; it recently eliminated a class of investments: stable value mutual funds.
BusinessWeek January 27, 2011 Christopher Condon	Money Funds Come Out of the Shadows Investors will soon see when a fund's market value drops below $1. Under rules passed last year, the U.S. Securities and Exchange Commission will disclose, with a 60-day lag, a measure of each fund's worth known as "shadow" net asset value, or shadow NAV.
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.
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.
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).
U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.
Investment Advisor July 2008 Melanie Waddell	SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds.
Reason March 2009 Gillespie & Welch	'I Think the SEC Was Distracted' Outgoing Securities and Exchange Commissioner Paul Atkins talks about bailouts, hedge funds, and what he thinks the SEC should have been regulating.
Finance & Development September 2009 Andrew Crockett	Rebuilding the Financial Architecture What needs to be done to strengthen financial regulation and supervision?
Investment Advisor August 2009	Group Think Reports from industry associations: SEC... Certified Financial Planner Board of Standards... The Investment Management Consultants Association...
Finance & Development March 2009 Kodres & Narain	What Is to Be Done While there is enough blame to pass around, one key contributor to the global financial crisis was inadequate regulation. The scope of financial regulation needs to be revamped and the provision of liquidity improved. Here's how.
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
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Investment Advisor April 2008 Melanie Waddell	It's About Time Investment industry executives agree that the SEC's proposed short-form mutual fund prospectus is long overdue.
Finance & Development September 2009 Randall Dodd	Overhauling the System The United States is proposing the most radical reform of financial regulation since the New Deal.
Financial Advisor May 2005 Karen DeMasters	Substituting For Stable Value Funds Despite the popularity that stable value funds have enjoyed in the last few years, as part of a diversified portfolio for individuals' retirement accounts, the unique funds have fallen by the wayside in recent months as financial advisors search for alternative investments for their clients.
Financial Advisor September 2009 Gail Liberman	How Liquid Are Client Mutual Funds? In a falling market, a fund's securities that appear to be liquid suddenly may have no market.
The Motley Fool April 14, 2008 Anand Chokkavelu	Why Paulson's Plan Works Saluting the Secretary of the Treasury's proposed overhaul of financial institution regulations.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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. 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. June 2, 2004 Will Leitch	SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one.
Investment Advisor June 2008 Melanie Waddell	A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds
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.
The Motley Fool August 27, 2010 Mac Greer	Can Mutual Funds Prevent the Next Financial Meltdown? Economics professor Lawrence Kotlikoff thinks limited purpose banking is the key to real change.
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. 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 August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
On Wall Street May 1, 2010 Alan J. Foxman	Do You Always Have A Right To An Attorney In Arbitration? Q&A: Rights to attorneys in arbitration... Is giving the client a bond's rating enough when it comes to disclosing risks?...
BusinessWeek June 18, 2009 Avinash D. Persaud	How to Save the Financial System Regulators Redistributing risk, rather than trying to eliminate it, is the key to strengthening the world's banks.
Investment Advisor August 2009 Melanie Waddell	Danger & Opportunity: Consumers Take Center Stage of Reform Debate Financial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting 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.
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.
Investment Advisor August 2008 Melanie Waddell	Wheels of Blueprint In Motion The SEC and the Federal Reserve Board's recent Memorandum of Understanding marks a first step; but Congress says more stringent financial services regulations are warranted.
Registered Rep. June 3, 2009 David Geracioti	ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors.
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.
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.
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
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?