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Mutual Funds: Valuation (17)
Your search for Mutual Funds: Valuation returned 17 results.
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11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
4/26/2018 | Content area: Investment Adviser
SEI funds had the option of loaning out securities to borrowers in exchange for cash collateral covering 102%-105% of the value of the loaned securiti...
1/22/2018 | Content area: Investment Adviser
From February 2013 to December 2014, the NAV that Gemini gave to NASDAQ was inflated because Gemini included in the NAV fake assets that were purporte...
10/20/2016 | Content area: Investment Adviser
The third and final new SEC rule targeting mutual funds gives fund advisers an option when redemptions spark trouble.   The Investment Company Swing P...
2/19/2015 | Content area: Investment Adviser
It’s too early for results from OCIE’s sweep exam of alternative mutual funds conducted last year (IA Watch, Aug. 28, 2014), and it’s not even certain...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
During any fiscal quarter in which elimination of securities from the portfolio of an investment company occur, the securities remaining in the portfo...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) The current net asset value of any redeemable security issued by a registered investment company used in computing periodically the current price ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) A standby commitment means a right to sell a specified underlying security or securities within a specified period of time and at an exercise pric...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Definitions. As used in this section: (1) The term Commodity Interests means commodity futures contracts, options on commodity futures contracts, ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) No registered investment company issuing any redeemable security, no person designated in such issuer's prospectus as authorized to consummate tra...
7/14/2014 | Content area: Investment Adviser
Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management...
6/24/2013 | Content area: Investment Adviser
The aftermath of the SEC's settlement with eight former board members of five mutual funds related to Morgan Keegan & Company ($10B in AUM) in Memphis...
3/11/2013 | Content area: Investment Adviser
Those eight former board directors of five Morgan Keegan mutual funds facing legal action for allegedly failing to adequately oversee the valuation of...
1/25/2010 | Content area: Investment Adviser
Struggles over estimating fair value of investments that calculate NAV have been well documented of late and now the American Institute of Certified P...
9/21/2009 | Content area: Investment Adviser
The evolution of accounting clarity that was FASB 157 could take another leap with release of a proposal that would require greater disclosure related...
6/15/2009 | Content area: Investment Adviser
Satisfying the SEC when it comes to valuation begins with having policies and procedures that are consistent and take into account contingencies, but ...
12/11/2003 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mut...


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