MUTUAL FUNDS ISSUES
- NASD Release requesting comments on proposed changes to business entertainment rule requirements. (January 23, 2006)
- NASD Notice requesting comments on proposed changes to business entertainment rule requirements. (January, 2006)
- NASD Release announcing breakpoint charges against Oppenheimer . (January 9, 2006)
- NASD Release reminding members of responsibilities regarding sales of mutual fund shares and dealer agreements. (November 22, 2005)
- Comment Letter to SEC on the proposal to require mutual funds to impose a two percent fee on the redemption of shares purchased within the previous five days. (May 20, 2004)
- Testimony to Senate Banking Committee by SEC Chairman William Donaldson: Investor Protection Issues Regarding the Regulation of the Mutual Fund Industry (April 8, 2004)
- Testimony to Senate Banking Committee by GAO: Assessment of Regulatory Reforms to Improve the Management and Sale of Mutual Funds (March 10, 2004)
- Speech by Federal Reserve Chairman regarding mutual funds proposals. (March 5, 2004)
- NASD Special Notice directing members to review mutual fund sales policies and procedures (September, 2003)
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