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The Investment Lawyer articles from April 2006
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The Investment Lawyer archives from April 2006
12b-1 rebates re-examined.
April 1, 2006... In a recent no-action letter, E*TRADE Securities LLC (pub. avail. Dec. 1, 2005), the staff (Staff) of the Securities and Exchange Commission (SEC) permitted implementation of a 12b-1 fee "rebate program," through which certain mutual fund...
Highlights of this issue.(From the Editor)
April 1, 2006... In the first article this month, George M. Silfen and Tamar Goldstein of Schulte Roth & Zabel examine the evolution of the SEC (Securities and Exchange Commission) staff's position on Rule 12b-1 fee rebate programs. The authors begin by...
The retirement protection gap: unequal disclosures for retirement investors.
April 1, 2006... In July 1, 2005, the first wave of US baby boomers turned 59 1/2 years old. (1) On this day, these individuals could begin withdrawing money--penalty-free--from their 401(k) plans and other tax-deferred retirement investment plans. This first...
SEC provides guidance to chief compliance officers in CCOutreach Seminar.(Securities and Exchange Commission)
April 1, 2006... The Securities and Exchange Commission (SEC) held its first CCOutreach Program National Seminar at the SEC's headquarters on November 8, 2005. The CCOutreach program, sponsored jointly by the Office of Compliance Inspections and Examinations...
