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26 Aug 2019, 6:42 am
Crown Capital has since updated its mutual fund switch procedures to ensure reviews for switching prior to trade approval and notified registered representatives about proper mutual fund trading procedures. [read post]
20 Mar 2009, 5:00 pm
In In re Lord Abbett Mutual Funds Fee Litigation, 2009 WL 117002 (3rd Cir. [read post]
30 Sep 2021, 8:01 am
By Amanda Maine, J.D.In a 4-to-1 vote, the SEC proposed amendments to Form N-PX intended to enhance the information mutual funds, exchange-traded funds, and certain other funds report about their proxy votes. [read post]
17 Jan 2020, 12:24 am
The post Nonprofit Tweets of the Week – 1/17/20 appeared first on Nonprofit Law Blog. [read post]
6 Jun 2018, 1:52 am
Contributions to the fund are made by each mutual association or stock company which writes compensation or employer's liability insurance in the State of New Jersey in accordance with statutory assessments. [read post]
14 Feb 2016, 12:58 pm
In the past year, investors have lost $20 billion in publicly traded in master limited partnerships, publicly traded oil funds. [read post]
29 Nov 2010, 5:24 pm
Rather, federal financial regulators must oversee a banking system, shadow banking system composed of mutual funds and hedge funds, a complex derivatives marketplace and a Wall Street that continue to change and pose new risks. [read post]
21 Aug 2022, 9:05 pm
“Picking friends before picking (proxy) fights: How mutual fund voting shapes proxy contests. [read post]
29 Nov 2016, 6:28 am
Our firm is investigating potential securities claims against brokerage firms for sales practice violations related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
1 Jun 2010, 3:20 pm
You did that because you thought that exchange trade funds – especially the big, well-known ones – combine the risk-reducing diversification of large index mutual funds with the liquidity of a big-name single stock. [read post]
15 Apr 2008, 11:46 am
If this happens, the repercussions among investors, municipalities, closed end mutual funds and investment banks will be unprecedented. [read post]
27 May 2016, 6:12 am
Securities and Exchange Commission, on Wednesday, May 25, 2016 Tags: Capital formation, Confidentiality, Disclosure, Firm valuation, Information asymmetries, Information environment,Investor protection, IPOs, SEC, Securities regulation, Transparency, Underpricing Dual Ownership, Returns, and Voting in Mergers Posted by Andriy Bodnaruk, University of Notre Dame and Marco Rossi, Texas A&M University, onWednesday, May 25, 2016 Tags: Behavioral finance, Bondholders, Debt, Mergers &… [read post]
11 Oct 2017, 3:00 am
Very few actively managed mutual funds outperform their market capitalization weighted peers. [read post]
30 Mar 2015, 10:23 am
The new Regulation, which will come into force 20 days after its date of publication, explains what intermediate entities mean for the purpose of deducting holdings in financial sector entities held indirectly through intermediate entities (such as holdings in mutual funds or investment funds). [read post]
16 Jan 2019, 9:00 am
Closed-end funds: Similar to a mutual fund, a closed-end fund is a pooled investment fund with a manager that oversees the portfolio. [read post]
4 Feb 2016, 8:53 am
The Fund opened at about $20 per share in September 2014. [read post]
3 Feb 2011, 7:35 am
The defendant/respondent life insurance/investment-advisory Representative encouraged the good professor to liquidate hundreds of thousands of dollars in mutual funds and to invest those funds in to “viaticals,” in addition to an ever-rotating team of variable annuities. [read post]
5 May 2016, 9:11 am
Account values of variable annuities, a mix of life insurance, mutual funds, and tax-deferred retirement plans, vary depending on how those investments perform. [read post]
23 Feb 2007, 8:42 am
Mutual funds that the SEC has gone after include MFS Investments, Putnam Investments, Pimco Funds, and Franklin Templeton Distributors Inc. [read post]
20 Sep 2023, 12:51 am
The post Early Edition: September 20, 2023 appeared first on Just Security. [read post]
