U.S. Securities and Exchange Commission & Mutual Fund News
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Latest U.S. Securities and Exchange Commission & Mutual Fund News
- Mutual fund activists claim more voting problems 23 Nov 2009 18:20 GMT
... unearthed questions about the arcane world of mutual fund shareholder voting. An activist group says it has ... knows?" The questions come as the U.S. Securities and Exchange Commission begins its own broad review of corporate ... in order to vote," Freadhoff said. An SEC lawyer recently told Investors Against Genocide that ...
- Securities Industry: Seeking Dilution of the Fiduciary Standard? 23 Nov 2009 19:20 GMT
... in June I noted that the The SEC should be permitted to align duties for ... broker can recommend the purchase of a mutual fund that pays a healthy commission for several years and doesn't have to ...
- 3 Reasons Why Transport ETFs Are Relatively Weak 23 Nov 2009 09:34 GMT
... When it comes to transportation stocks in the ), some ... Inc., a Registered Investment Adviser with the SEC. The company may hold positions in the ETFs, mutual funds and/or index funds mentioned above. ...
- Mesirow Financial Selects Morningstar Office as Portfolio Accounting and Performance Reporting Platform 23 Nov 2009 15:50 GMT
... Mesirow Financial Selects Morningstar Office as Portfolio Accounting and ... batch reporting, a client Web portal, and SEC document archiving. In addition, advisors can manage ... more than 325,000 investment offerings, including stocks, mutual funds, and similar vehicles, along with real-time global market data on ...
- Mesirow Financial Selects Morningstar Office as Portfolio Accounting and Performance Reporting Platf 23 Nov 2009 15:53 GMT
... Mesirow Financial Selects Morningstar Office as Portfolio Accounting and ... batch reporting, a client Web portal, and SEC document archiving. In addition, advisors can manage ... more than 325,000 investment offerings, including stocks, mutual funds, and similar vehicles, along with real-time global market data on ...
- BUYINS.NET: JINFF, MFGD, PRRFY, ITMSF, AGM.A, STSA Have Been Added To Naked Short Lists Today 23 Nov 2009 17:27 GMT
... Nov 23, 2009 (M2 PRESSWIRE via COMTEX) -- BUYINS.NET, www.buyins.net, ... also markets fixed income and equity products, mutual funds, fixed and variable annuities, and other financial ... filings made by such company with the Securities and Exchange Commission. You should consider these factors in evaluating ...
- SEC: Con artists bilked seniors in biotech scam 22 Nov 2009 11:36 GMT
... The Securities and Exchange Commission last week charged two companies — including ... including individual retirement accounts, 401(k) plans and mutual funds. The SEC said Mr. McKelvy also encouraged ...
- Traveling abroad for better returns 22 Nov 2009 16:56 GMT
... While there's no place like home, sometimes you have ... is through broad index funds, such as mutual funds or exchange traded funds, says Jerry Miccolis, principal at Brinton Eaton ... probably is," says Michael Robinson, a former SEC spokesperson and chair of the corporate practice ...
- Westwood Completes Acquisition of $52 Million in Mutual Fund Assets 17 Nov 2009 16:50 GMT
... Westwood Completes Acquisition of $52 Million in Mutual Fund Assets WHG Funds Now Exceed $500 Million ... and a larger, more diverse family of mutual funds that the WHG Funds offer.” The WHG LargeCap Value Fund utilizes the ... detailed from time to time in Westwood's SEC filings, including but not limited to, its ...
- SEC says former Tvia execs inflated revenue 18 Nov 2009 00:13 GMT
... said in a regulatory filing Monday that Securities and Exchange Commission staff issued a so-called Wells notice to ... than $24 million in bogus commissions on mutual fund trades. The Securities and Exchange Commission announced ... its analytical publications and that also manages mutual funds. New York-based Value Line, chief executive Jean ...
- SEC Charges "Green" Investment Promoters With Operating Ponzi Scheme 17 Nov 2009 16:54 GMT
... The McKelvys promoted Mantria investment opportunities through their Denver-based ... equity to instead invest in Mantria. The SEC alleges that the "green" representations were laced ... including individual retirement accounts, employer-sponsored 401(k) plans, mutual funds, stocks, bonds, and savings accounts. McKelvy also encourages investors to borrow ...
- SEC Defends Investors Against Dark Pool Abuses 17 Nov 2009 17:56 GMT
... Eleven of the 29 dark pools offer glimpses as "indications ... as "indications of interest," according to the SEC's research. To help meet the "reasonable" criteria ... large indications helps institutional investors working for mutual funds and 401(k)s trade without moving the market against themselves, says Al ...
- New U.S. risk regulator overlaps SEC, CFTC-Gensler 17 Nov 2009 16:20 GMT
... Thomson Reuters is the world's largest international multimedia news ... news alerts, personal finance, stock market, and mutual funds information available on Reuters.com, video, mobile, ...
- What's wrong with actively managed ETFs? 18 Nov 2009 16:01 GMT
... the Nov. 30 issue. ETFs, unlike conventional mutual funds, allow investors to pay most capital gains ... that money earmarked for taxes in a mutual fund can continue to grow within an ETF. ... of actively managed ETFs one day. The Securities and Exchange Commission insists that ETFs provide investors with transparency ...
- Why to Care About Corporate Governance 17 Nov 2009 04:30 GMT
... Corporate Library, publishes a report on how mutual funds vote on executive compensation. Minow says the voting by mutual funds ... disinfectant and that people will choose the mutual fund that votes most energetically on their behalf." ... of capital in the world), and the SEC, which has jurisdiction over mutual funds, have ...
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