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BusinessWeek
November 17, 2003
David Henry |
Mutual Funds: Tossing Out The Rubber Stamp A new SEC rule that takes effect next year will require mutual funds to disclose how they vote on proxies for the stocks they own. The rule is intended to keep funds from siding with management to gain 401(k) business. How will this affect corporate governance?   |
BusinessWeek
November 17, 2003
Faith Arner |
Can Putnam Win Back Investors' Trust? Putnam CEO Lawrence Lasser is out, but the mutual fund company still has a lot of work ahead of it to overcome asset outflows due to its scandal. |
BusinessWeek
November 17, 2003
Borrus & Dwyer |
Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry. |
Registered Rep.
November 5, 2003
Churchill & Gaffen |
Pru Market-Timing Charges Widen The investigation into mutual fund trading abuses is widening, with the release of a complaint filed by the Massachusetts Securities Division against brokers who formerly worked in Prudential Securities' hub office in Boston. |
Registered Rep.
November 5, 2003
Will Leitch |
NASD: Brokerages Owe $86M To Investors The summer 2003 scandal involving unpaid breakpoints -- sales-charge discounts that mutual fund companies provide investors who put in a certain amount in a selected fund -- might have been dwarfed by the market-timing scandal, but the SEC and the NASD haven't forgotten about it. |
Registered Rep.
November 3, 2003
Will Leitch |
Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds. |
BusinessWeek
November 10, 2003
Dwyer & Borrus |
The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules. |
BusinessWeek
November 10, 2003
Jeffrey M. Laderman |
Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers. |
BusinessWeek
November 3, 2003
Lauren Young |
Mutual Funds: Skedaddle Time? Morningstar, the fund research firm, recommends selling or at least not putting new money into firms at which trading misdeeds are suspected. That includes Janus, Bank of America, Bank One, and Strong funds. Such redemptions could be costly for those who stay. |
Entrepreneur
November 2003
Dian Vujovich |
Value Added Here's a midcap fund that's more than just middle of the road. |
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