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Proposed Consolidated FINRA Rule Governing Investment Company Securities

Issue

The Individual Investor→

Summary

SIFMA provides comments to the Securities and Exchange Commission on the proposed consolidated Financial Industry Regulatory Authority (FINRA) rule governing investment company securities (SR–FINRA–2011–018).  SIFMA supports FINRA’s shift of approach from relying on mutual fund prospectus disclosure of special cash compensation – which is outside the control of member firms – to disclosure of additional cash compensation by member firms themselves.

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Related Committee(s)

  • Private Client & Wealth Management

Date

31

May

2011

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