Browsing: Securities Exchange Commission

Chasing Rumors

08/26/2008
New York – Daniel Loeb, who runs New York-based Third Point Management with the $5.6 billion in hedge fund assets under management, reported a significant increase in SEC activity in ...

What Guidance on Guidance?

08/24/2008
New York – The Investorside Research Association, the U.S. trade association for independent research, is formulating its position on the SEC’s recently proposed soft dollar disclosure guidance to mutual fund ...

Passing The Buck

07/31/2008
New York—Yesterday the SEC issued draft guidance for directors of registered 40 Act funds relating to ‘soft dollar’ practices.  In the ‘sunshine’ meeting in which the commissioners discussed the proposed ...

My Broker Made Me Do It…

07/13/2008
New York—A recent survey of compliance officers at SEC-registered investment advisors shows continuing confusion about the topic of soft dollars.   Two years have passed since the SEC clarified ...

XBRL Arrives (Finally)

05/20/2008
  New York–The U.S. Securities and Exchange Commission adopted a rule proposal last week that will mandate interactive data filings of public companies’ SEC reports, beginning this year for large cap ...

SEC Receives Comments on Form ADV Changes

03/11/2008
New York—The SEC is starting to receive comments on its proposed changes to Form ADV, and, fittingly, the first few comments pertain to the soft dollar disclosure provisions. The first ...

SEC Releases New Form ADV Guidelines

03/05/2008
New York – The U.S. Securities and Exchange Commission has posted its proposed amendments to Form ADV, including its guidelines for the disclosure of “soft dollars”. The proposed ...