Mutual Fund Industry: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, First Session, July 22 and August 5, 1993, Part 2 |
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30 fund groups abusive adviser's amended Arthur Levitt asset value bank bond funds broker-dealers Chairman Levitt code of ethics Commission's concerns conflicts of interest derivative instruments derivative investments disclosure Division believes Division of Investment Division's employees Exchange Commission FINK fund access persons fund insiders fund managers fund matching trades fund personnel fund portfolio fund shareholders Glass-Steagall Act illiquid inspection interest rate inverse floaters investing by fund investment adviser Investment Company Act Investment Company Institute Investment Management investments in derivatives leverage limited liquid MCMILLAN money market funds mutual fund industry mutual funds NASD net asset value Number of Fund Paine Webber personal accounts personal investment activities personal securities transactions personal trading personal transactions policies portfolio managers pre-clear prohibit prospectus recommendations regulatory Report restrictions risk rule section 17(j Securities and Exchange share staff Subcommittee supra note U.S. Securities violation XYZ fund