4 The commission also is proposing new rule 15c2-3 under the Exchange Act, which would govern the obligation of brokers, dealers and municipal securities dealers to disclose information to investors prior to effecting transactions in those securities. The proposed new rules respond to concerns that investors in mutual fund shares, uit interests (including certain insurance company separate accounts that issue variable insurance products) and municipal fund securities used for education savings lack adequate information about certain distribution-related costs, as well as certain. Those costs and other distribution arrangements have evolved substantially since 1977, when the commission adopted its general confirmation rule, rule 10b-10. 5 we believe that disclosure of information about those costs and conflicts can help investors make better informed investment decisions. Proposed rule 15c2-2 would require specific confirmation disclosure of information about front-end and deferred sales fees loads and other distribution-related costs that directly impact the returns earned by investors in mutual fund shares, uit interests and 529 plan securities. It also would require brokers, dealers and municipal securities dealers to disclose their compensation for selling those securities, and to disclose information about revenue sharing arrangements and portfolio brokerage arrangements that create conflicts of interest for them. Moreover, the proposed rule would require brokers, dealers and municipal securities dealers to inform customers about whether their salespersons or other associated persons receive extra compensation for selling certain fund shares or fund share classes. As part of this rulemaking process, the commission intends to withdraw a no-action letter that the commission's division of Market Regulation granted to the Investment Company Institute ici in 1979, related to confirmation disclosure of mutual fund sales loads and related fees.
Proposal Writing Hints
The proposed new point of sale disclosure rule would require brokers, dealers and municipal securities dealers to provide point of sale disclosure to customers about costs and conflicts of interest. In contrast to confirmation disclosure, which a customer will not receive in writing until after a transaction has been effected, point of sale disclosure would specifically require that investors be provided with information that they can use as they determine whether to enter into. The proposed new point of sale disclosure and confirmation rules and rule amendments also would clarify that the town rules do not provide safe harbors for activity that would violate the antifraud provisions of the federal securities laws or other legal requirements. We are also proposing amendments to the commission's general confirmation rule to require broker-dealers to provide customers with additional information in connection with transactions in callable preferred stock and debt securities, and to make additional conforming and technical changes to the rule. Finally, we are proposing to amend Form N-1A,the registration form used by mutual funds to register under the Investment Company Act and to offer their securities under the securities Act, to require improved disclosure regarding sales loads and revenue sharing arrangements. In proposing this rule, we have requested comments on a variety of issues. We wish to emphasize that we particularly hope to receive comments from investors. As part of this proposed rulemaking, we have also proposed new forms for confirmation disclosure and point of sale disclosure. We want to know whether the forms clearly communicate the information that investors need to make investment decisions, and whether the forms will provide investors with the information they need, at the time they need. Introduction The commission is proposing new rule 15c2-2 under the Exchange Act, which would govern the obligations of brokers (including municipal securities brokers 3 dealers and municipal securities dealers to disclose transaction-related information in confirmations or other documents when customers buy or sell certain investment.
Consideration of Burden on Promotion of Efficiency, competition, and Capital Formation. Consideration of Impact on the Economy. Initial Regulatory Flexibility Analysis, statutory authority, text of Proposed Rules. Executive summary, the commission is publishing for comment two proposed new rules and rule amendments under the Exchange Act. The proposed new rules seek to improve investor access to material information about investments in open-end management investment company securities, unit investment trust interests, and municipal fund securities used for education savings. The proposals would accomplish that by requiring brokers, dealers and municipal securities dealers 2 to make additional disclosures, beyond those currently required, in transaction confirmations that they provide to customers at the time of a transaction, and also by requiring point of sale disclosure. The proposed new confirmation rules would require brokers, dealers and municipal securities dealers to provide customers with information about distribution-related costs that investors incur when they purchase those types of securities. The confirmation rule proposals would also require disclosure of distribution-related arrangements involving those types of securities that pose conflicts of interest for brokers, dealers and municipal securities dealers, as well as their associated persons. These disclosures would promote more informed decision-making by investors in securities issued resumes by open-end management investment companies (also referred to here as "mutual funds" or "funds interests issued by unit investment trusts or "UITs" (including insurance company separate accounts that offer variable annuity contracts and.
Supplementary Information: engelsk The securities and Exchange commission sec" or "Commission is publishing for comment proposed rules 15c2-2 and 15c2-3, as well as amendments to rule 10b-10 under the securities Exchange Act shmoop of 1934 Exchange Act and proposed amendments to form N-1A under the securities Act. Table of Contents, executive summary, introduction. Special Request for Comments from Investors. Improved Confirmation Disclosure for Transactions in Mutual Fund Shares, Unit Investment Trust Interests and 529 Plan Interests. Point of Sale disclosure for Transactions in Mutual Fund Shares, Unit Investment Trust Interests and 529 Plan Interests. Prospectus Disclosure, disclosure related to Transactions in Callable Preferred Stock and Callable debt Securities, and Other Amendments to rule 10b-10. Paperwork reduction Act Analysis, costs and Benefits of the Proposed Rule and Rule Amendments.
Electronically submitted comment letters will be posted on the commission's Internet Web site (. 1, for Further Information Contact: With respect to securities Exchange Act rules 10b-10, 15c2-2, and 15c2-3, contact Catherine McGuire, chief counsel, paula. Jenson, deputy Chief counsel, joshua. Kans, Special counsel, or david. Blass, Attorney, at 202/942-0073, Office of Chief counsel, division of Market Regulation, securities and Exchange commission, 450 Fifth Street, nw, washington,. With respect to form N-1A, contact Tara. Royal, senior counsel, Office of Disclosure regulation, at 202/ 942-0721, division of Investment Management, securities and Exchange commission, 450 Fifth Street, nw, washington,.
How to write a research proposal
Rin 3235-AJ11; 3235-AJ12; 3235-AJ13; 3235-AJ14, confirmation Requirements and point of Sale disclosure requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the registration Form for Mutual Funds. Agency : Securities and Exchange commission. Action : Proposed rule. Summary : The securities and Exchange commission is proposing two new rules and rule amendments under the securities Exchange Act of 1934 that are designed to enhance the information broker-dealers provide to their customers in connection with transactions in certain types of securities. The two new rules would require broker-dealers to provide their customers with targeted information, at the point of sale and in transaction confirmations, regarding the costs and conflicts of interest that arise from the distribution of mutual fund shares, unit investment trust interests (including insurance. The commission is also proposing conforming amendments to its general confirmation rule, as well as amendments to that rule to provide investors with additional information about call features of debt securities and preferred favourite stock. Finally, the commission is proposing amendments to form N-1A, the registration form for mutual funds, to improve disclosure of sales loads and revenue sharing.
Dates: Comments must be submitted on or before April 12, 2004. Addresses: Comments should be submitted in triplicate to jonathan. Katz, secretary, securities and Exchange commission, 450 Fifth Street, nw, washington,. Comments also may be submitted electronically at the following E-mail address. All comment letters should refer to file. S7-06-04; this file number should be included on the subject line if E-mail is used. Comment letters will report be available for inspection and copying in the commission's Public Reference room at the same address.
A smaller font can be used here to keep this to one page. Section 10: Future Planning, describe your career plans and how you specifically intend to acquire future employment following your Fellowship. How will the skills obtained in your Fellowship aid your future career? Describe the various options that you can realistically aim for in order of preference,. The ideal (but realistic) next position you will aim for, followed by other alternatives you will pursue.
Please liaise with your Fellowship Advisor on the first drafts of your proposal and ensure that you work to the mutually agreed deadlines. Do not hesitate to contact your Fellowship Advisor with any queries. Victoria dunckley, md finds her book on the shelves of her local bookstore. I worked with Victoria on her book proposal for. Reset your Childs Brain, which garnered a book deal with New World Library. As a published author, she is in demand for speaking gigs, summits and interviews with the media. She was featured with her book on good Morning America. Securities and Exchange commission 17 cfr parts 239, 240 and 274. 33-8358; 34-49148; ic-26341; File.
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Approval not being obtained in the described time-frame should be identified as a risk in section 6 and fruit a contingency plan presented. Section 8: Timetable (1 page in landscape). Provide a simple diagrammatic work plan in a gantt chart as a word table or excel chart illustrating the proposed research including the retraining elements. Please use the columns as individual months (i.e. 1 to 24) and label the rows as tasks/ actions. (Inserting a section break at the bottom of hotel the page before the table and another after the table enables you to select landscape orientation within that section without affecting the remainder of the text). Section 9: References, any literature referred to in the proposal should be listed here.
Distinguish between new and refreshed skills. Section 6: Proposed Research Plan, your project title should be the biography heading for this section. Outline your proposed research by describing the hypothesis to be tested and the research methods to be used. The study design should be described in sufficient detail for our Awards Assessment Panel to understand what is proposed. Describe how your retraining will be useful for the project. Describe the risks involved and how you will overcome them.(maximum 1500 words) (written in the first Person). Section 7: Ethical Approval and Licences. If your project will require Ethical Approval or a licence, please give specific details including timescales for approval. Indicate who will have overall responsibility for the submission of each application.
it could be read by a layperson. This section should also spell out the impact and possible practical applications of the proposed research. Scientific Abstract, briefly describe the project to a scientific audience. Section 4: Host organisation, provide brief details of the host organisation, proposed supervisor(s) and relevant collaborations. Please include details of how well equipped the host organisation is to support the proposed research plan. Include names of anyone who will be involved in your proposed research or retraining program. Section 5: Retraining Programme, briefly describe the retraining programme including planned training in research methods/techniques personal development.
Each section should start on a new page. The whole proposal (excluding section 3) should be written in the first person. Please mark the document as draft. You can do this in Word by going to page layout, choose watermark and diagonal draft. Section 1: cover Sheet, include your name, and names of supervisor and host organisation. Include your project title too. Section 2: reasons for Applying for a fellowship. Give a brief overview of your research before your career break, reasons for the career break, why you think you are lab ready to return and how you will overcome any work-life balance issues.
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The application process for a daphne jackson Fellowship is essay unlike any other in the fields of Science, engineering, technology and Mathematics (stem and so the proposal is different to a normal academic research proposal. These guidelines detail how to write and present your proposal, comprising of a research project and retraining programme. They indicate the order of the sections required for the proposal and the required content in e final assessment of your proposal will be carried out by the daphne jackson Trusts Awards Assessment Panel, comprised of researchers and academics from a variety of stem backgrounds. Proposal layout, body text Font: Calibri 12pt, titles and subtitles: Calibri bold 20pt, 16pt and 14pt. Line Spacing:.15, margins: As Default (2.54cm page footer: Name. Page. Date. Please provide a word count at the end of the subsections which have a word limit. Do not include figure legends and tables in the word count.