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Searching for: researcher is "securities and exchange commission (sec)"

Surveys listed in reverse order of publication date

Results 1-8 of 8.

Broker/Dealer Sales of Variable Insurance Products
Examinations of broker/dealer sales of variable annuities and variable life insurance
Securities and Exchange Commission (SEC)
Jun 2004 United States Miscellaneous
Regulators have received a large number of complaints from individual investors, many indicating that the customer was sold a variable product without fully understanding the product, or that the product was not appropriate given the customer's investment objectives. This report identifies both "sound" and "weak" broker/dealer practices in the areas of sales suitability, disclosure, supervision, training and records maintenance.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Jun 2004 or click here (this link will not work in all circumstances). For further information about Perspective click here.

C2240862   Click here to contact the authors.
 
Proposal of Mandatory Redemption Fees for Mutual Fund Securities
New Rule proposals
Securities and Exchange Commission (SEC)
Feb 2004 United States Regulatory Bodies (excl. tPR), Investment - General
This proposed rule would require all mutual funds to impose a 2% fee on the redemption proceeds of shares redeemed within 5 days of their purchase. The fund itself would retain the proceeds from the redemption fees. The rule is designed to require short term shareholders to reimburse the fund for the direct and indirect costs which the fund pays to redeem these investors’ shares. In the past, these costs generally have been borne by the fund and its long term shareholders. Thus the redemption fee would be a “user fee” to reimburse the fund for the cost of accommodating frequent traders.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Feb 2004 or click here (this link will not work in all circumstances). For further information about Perspective click here.

6E213657   Click here to contact the authors.
 
Rules To Increase Proxy Access by Shareholders
Rules To Increase Proxy Access by Shareholders
Securities and Exchange Commission (SEC)
Oct 2003 United States Corporate Governance
The rule proposals require companies to include in their proxy materials the names of nominees for election as director that are submitted by certain shareholders, as well as disclosure relating to those nominees.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Oct 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

B5173344   Click here to contact the authors.
 
The Implications of the Growth of Hedge Funds
The operations and practices of the hedge fund industry
Securities and Exchange Commission (SEC)
Sep 2003 United States Investment - Hedge Funds
This report follows a fact finding investigation into the operations and practices of the hedge fund industry. It identifies a number of areas of concern regarding hedge funds, many of these arising from the unregulated status of hedge funds. The report contains a number of recommendations to improve the regulation and oversight of the hedge fund industry

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Sep 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

7E169099   Click here to contact the authors.
 
Disclosure Requirements Related to Director Nominations and Shareholder Communications
Propose rule changes which would strengthen disclosure requirements
Securities and Exchange Commission (SEC)
Aug 2003 United States Corporate Governance
This proposed rule changes is designed to strengthen disclosure requirements relating to the nomination of directors and shareholder communications with directors. The Commission believes that better information about the way board nominees are identified, evaluated and selected is critical for shareholder understanding of the proxy process regarding nomination and election of directors. It also believes that better information about the processes of shareholder communications with boards lies at the foundation of shareholder understanding of how they can interact with directors and director processes. 

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Aug 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

43161423   Click here to contact the authors.
 
Report On Proxy Process Review
Rules and regulations regarding the nomination and election of directors
Securities and Exchange Commission (SEC)
Jul 2003 United States Corporate Governance
This report concerns the review of the Commission's rules and regulations regarding the nomination and election of directors. It notes the need to improve the existing proxy process and recommends action in two areas: improved disclosure and improved shareholder access to the director nomination process.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Jul 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

93156177   Click here to contact the authors.
 
Findings of Breakpoint Examination Sweep
A three-month examination sweep on charging by selected broker-dealers
Securities and Exchange Commission (SEC)
Mar 2003 United States Investment - General
Based on the results of a three-month examination sweep of selected broker-dealers it was discovered that nearly one in three transactions in front-end load mutual funds that appeared eligible for a breakpoint discount did not receive one. This report reveals the average discount not provided was $364 per transaction.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Mar 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

5D107279   Click here to contact the authors.
 
Proxy Voting Disclosure by Investment Companies and Investment Advisers
Rule amendments requiring disclosure of proxy voting policies, procedures and votes
Securities and Exchange Commission (SEC)
Jan 2003 United States Investment - Management, Corporate Governance
The SEC has voted to adopt rule amendments that would require mutual funds and other registered management investment companies to disclose their proxy voting policies and procedures and their actual proxy votes cast. These amendments are designed to enable fund shareholders to monitor their funds' involvement in the governance activities of portfolio companies and to encourage funds to vote their proxies in the best interest of fund shareholders.

More details are generally available exclusively to subscribers of Perspective, the electronic pensions legal & regulatory information and news service. To read the summary, subscribers should launch Perspective and navigate via the Table of Documents to PensionSurveys >> Jan 2003 or click here (this link will not work in all circumstances). For further information about Perspective click here.

330957FA   Click here to contact the authors.
 

Results 1-8 of 8.