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Guidance Relating the Duties and Responsibilities of Investment Company Boards of Directors

Issue

The Individual Investor→

Summary

SIFMA provides comments to the Securities and Exchange Commission (SEC) on SEC guidance regarding the duties and responsibilities of investment company Boards of Directors with respect to investment adviser portfolio trading practices, Release No. 34-58264, File No. S7-22-08.  SIFMA believes that the guidance does not set a proper context or perspective from which client commission and similar arrangements should be evaluated, and offers ways to change this.

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Related Committee(s)

  • Private Client & Wealth Management

Date

1

October

2008

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