Narrow search
Showing 115,111 - 115,120 of 115,615
Cover Image
In Rule 12b‐1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements
Greene, Nathan J. - In: Journal of Investment Compliance 11 (2010) 4, pp. 51-55
Purpose – The purpose of this paper is to explain the SEC's proposal to establish a new framework for mutual fund distribution charges by replacing Rule 12b‐1 with a new Rule 12b‐2 combined with an amended Rule 6c‐10. Design/methodology/approach – The paper discusses the background of...
Persistent link: https://www.econbiz.de/10014893361
Cover Image
Second Circuit rules securities fraud claim of mutual fund shareholders relating to affiliated transfer agent arrangements may proceed, but upholds dismissal of breach of fiduciary...
Dodds, William K.; Vargo, Brian S. - In: Journal of Investment Compliance 11 (2010) 4, pp. 56-58
Purpose – The purpose of this paper is to explain a February 2010 US Second Circuit Court decision in Operating Local 649 Annuity Trust Fund v. Smith Barney Fund Management LLC that supported fund investor plaintiffs who alleged that fund advisors accepted undisclosed compensation from a...
Persistent link: https://www.econbiz.de/10014893362
Cover Image
Summary of selected FINRA Regulatory notices July‐September 2010
Davis, Henry A. - In: Journal of Investment Compliance 11 (2010) 4, pp. 59-78
rules that extend certain Regulation NMS protections to quoting and trading of over‐the‐counter (OTC) Equity Securities. 10 …
Persistent link: https://www.econbiz.de/10014893363
Cover Image
FINRA IPO Allocation Rule; investment funds must now consider compliance
Sacks, Russell; Blankenship, Michael; Blau, Steven - In: Journal of Investment Compliance 12 (2011) 1, pp. 35-40
Purpose – The purpose of this paper is to describe the Financial Industry Regulatory Authority's new rule for IPO allocation and the requirements for compliance with the rule. Design/methodology/approach – The paper provides an overview of the new FINRA Rule 5131, containing, among other...
Persistent link: https://www.econbiz.de/10014893366
Cover Image
SEC approves rule banning “naked access” to trading centers
Hardy Callcott, W.; Foley, Timothy C. - In: Journal of Investment Compliance 12 (2011) 1, pp. 62-64
Purpose – This paper sets out to explain the new Securities and Exchange Commission Rule 15c3‐5, which will require broker‐dealers to adopt and implement risk controls to govern their provision of “direct market access” (DMA). Design/methodology/approach – The paper explains how the...
Persistent link: https://www.econbiz.de/10014893372
Cover Image
Summary of selected FINRA Regulatory Notices October‐December 2010
Davis, Henry A. - In: Journal of Investment Compliance 12 (2011) 1, pp. 70-84
issued pursuant to Regulation T and the margin rules. Notice10‐51: Firms that offer commodity futures‐linked securities are …
Persistent link: https://www.econbiz.de/10014893374
Cover Image
Emerging issues under interim final regulation on plan service provider fee disclosure
Occhino, Lennine; Shore, Linda; Gosker, Erika - In: Journal of Investment Compliance 12 (2011) 2, pp. 19-32
) (the “Regulation”). Among other changes, the Regulation will require service providers to provide additional disclosures of … as a registered investment adviser. The primary purpose of the Regulation is to assist plan sponsors in evaluating … interests to which the service provider may be subject. The Regulation will apply to both new and existing service provider …
Persistent link: https://www.econbiz.de/10014893379
Cover Image
Summary of selected FINRA regulatory notices, January‐February 2011
Davis, Henry A. - In: Journal of Investment Compliance 12 (2011) 2, pp. 89-100
's Departments of Market Regulation and Enforcement in settling and litigating cases, and incorporate the teachings of federal …
Persistent link: https://www.econbiz.de/10014893386
Cover Image
Summary of selected FINRA regulatory notices, March‐May 2011
Davis, Henry A. - In: Journal of Investment Compliance 12 (2011) 3, pp. 56-76
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in March, April, and May 2011. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory Notice...
Persistent link: https://www.econbiz.de/10014893395
Cover Image
Summary and analysis of Dodd‐Frank rules for investment advisers: registration requirements, exemptions, family offices, performance fee eligibility
Sorady, Marybeth; Domina, Daren; Cohen, Wendy; Santo, Fred - In: Journal of Investment Compliance 12 (2011) 4, pp. 4-17
Purpose – This paper aims to explain the rules recently adopted by the Securities and Exchange Commission under the provisions of the Dodd‐Frank Wall Street Reform and Consumer Protection Act relating to the increased asset threshold for federal registration as an investment adviser, the new...
Persistent link: https://www.econbiz.de/10014893396