Financial Services Industry
Industry: Email Alert RSS FeedPoint-of-sale-rule proposal tweaked.(Short Interests)
Investment News, February, 2006
Byline: Sara Hansard WASHINGTON - The Securities and Exchange Commission likely will issue an amended "point of sale'' proposed disclosure rule for brokerage firm mutual fund sales, Robert Colby, deputy director of the division of market regulation, said at a recent conference here. An earlier proposal that would have required brokerage firms to disclose compensation and conflicts for its own firms was found to be confusing to customers in focus group studies.
The customers thought that the figures disclosed represented all fees involved in buying mutual funds, not realizing that the brokerage costs didn't include mutual fund management fees. The Securities Industry Association of New York and Washington and NASD of Washington suggested that the...
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