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Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9780756748265
Category : Business & Economics
Languages : en
Pages : 54
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Book Description
Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9780756748265
Category : Business & Economics
Languages : en
Pages : 54
Get Book Here
Book Description
Author:
Publisher: DIANE Publishing
ISBN: 1428931686
Category :
Languages : en
Pages : 52
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Book Description
Author: U S Government Accountability Office (G
Publisher: BiblioGov
ISBN: 9781289117986
Category :
Languages : en
Pages : 48
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Book Description
The Securities and Exchange Commission (SEC) and other regulators have recently identified two significant types of trading abuses--market timing and late trading--in the mutual fund industry. The more widespread abuse was market timing, which involved situations where investment advisers (firms that may manage mutual funds) entered into undisclosed arrangements with favored customers who were permitted to trade frequently in contravention of stated trading limits. These arrangements harmed long-term mutual fund shareholders by increasing transaction costs and lowering fund returns. Late trading, a significant but less widespread abuse, occurs when investors place trades after the mutual fund has calculated the price of its shares, usually at the 4:00 p.m. Eastern Time close of financial markets, but receive that day's fund share price. Investors who late trade have an opportunity to profit, which is not available to other investors. To assess SEC's efforts to impose penalties on violators, this report (1) discusses SEC's civil penalties in settled trading abuse cases, (2) provides information on related criminal enforcement actions, and (3) evaluates SEC's criminal referral procedures.
Author:
Publisher: DIANE Publishing
ISBN: 1428931678
Category :
Languages : en
Pages : 45
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Book Description
Author: United States. Congress. House. Committee on the Judiciary. Subcommittee on Commercial and Administrative Law
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 108
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Book Description
Author: United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management, the Budget, and International Security
Publisher:
ISBN:
Category : Consumer protection
Languages : en
Pages : 232
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Book Description
Author: United States. Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781985210806
Category :
Languages : en
Pages : 106
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Book Description
Mutual fund trading abuses : hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005.
Author: Patrick E. McCabe
Publisher:
ISBN:
Category :
Languages : en
Pages : 82
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Book Description
Author: United States House of Representatives
Publisher:
ISBN: 9781674571201
Category :
Languages : en
Pages : 106
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Book Description
Mutual fund trading abuses: hearing before the Subcommittee on Commercial and Administrative Law of the Committee on the Judiciary, House of Representatives, One Hundred Ninth Congress, first session, June 7, 2005.
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781984332301
Category :
Languages : en
Pages : 52
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Book Description
GAO-05-313 Mutual Fund Trading Abuses: Lessons Can Be Learned from SEC Not Having Detected Violations at an Earlier Stage
