Find a copy in the library
Finding libraries that hold this item...
|All Authors / Contributors:||
John E Baumgardner; Practising Law Institute.
|Notes:||"PLI order no. 3473."
"Prepared for the Mutual funds, in Crisis? : Responses to Late Trading, Market Timing and Employee Trading program, January 2004"--Page 5.
|Description:||1120 pages ; 23 cm.|
|Contents:||Sullivan & Cromwell LLP, memorandum: SEC proposes amendments to rules governing pricing of mutual fund shares and to mutual fund disclosure forms that would require disclosure of marketing timing policies and procedures (December 22, 2003) / John E. Baumgardner Jr. --
Overview of recent regulatory and private proceedings concerning market timing and other related activity in the mutual fund industry / James N. Benedict --
The investment company industry in the 1990's: a rethinking of the regulatory structure appropriate for investment companies in the 1990's / Stephen K. West --
Proposal for inclusion in National Securities Markets Improvements Act of 1996 / Stephen K. West --
Panel-congressional, investigations, industry proposals and industry critics / Stephen K. West --
SEC examination of late trading, market timing and providing portfolio information-the September 4, 2003 letter / Kenneth J. Berman --
NASD news releases / submitted by: Barry R. Goldsmith NASD --
Shearman & Sterling LLP, memoranda to clients on recent legislative proposals regarding mutual fund regulations / Barry P. Barbash --
House bill, H.R. 2420 mutual fund integrity and Fee Transparency Act of 2003 --
Committee on financial services report on HR 2420 Mutual Fund Integrity and Fee Transparency Act of 2003 --
Senate Bill, S. 1971 Mutual Fund Investor Confidence Restoration Act of 2003 --
SEC release no. 33-8347: proposed rule: disclosure of breakpoint discounts by mutual funds (December 17, 2003) --
SEC release no. IC-26288: proposed rule: amendments to rules governing pricing of mutual funds shares (December 11, 2003) --
SEC release no. 33-8343: proposed rule: disclosure regarding market timing and selective disclosure of portfolio holdings (December 11, 2003) --
SEC release 2003-173: SEC approves NYSE governance structure changes; solicits comment on fund transaction cost issues (December 17, 2003) --
SEC release no. 1A-2204: final rule: compliance programs of investment companies and investment advisers (December 17, 2003) --
SEC release 2003-142: SEC brings enforcement actions against putnam investment management llc and two putnam managing directors for self-dealing in putnam funds (October 28, 2003) --
SEC RELEASE 2003-143: SEC announces fraud charges against former portfolio manager of the lipper convertible hedge funds (October 28, 2003) SEC release 2003-156: putnam agrees to make restitution and implement immediate, significant structural reforms in partial resolution of SEC enforcement action (November 13, 2003) --
SEC release 2003-161: founders of PBHG funds and pilgrim baxter & associates charged with fraud in connection with market timing of PBHG funds (November 20, 2003) SEC release 2003-164: SEC charges security trust company, N.A. and three former executives for facilitating fraudulent mutual fund late trading and market timing schemes (November 25, 2003) --
SEC release 2003-167: SEC charges invesco funds group, Inc. and CEO Raymond Cunningham with fraud and breach of fiduciary duty for allowing market timing at vesco funds (December 2, 2003).
|Series Title:||Corporate law and practice course handbook series, no. 1309.|
|Other Titles:||Responses to late trading, market timing, and employee trading|
|Responsibility:||chair, John E. Baumgardner, Jr.|