SEC Approves New Rules for Adviser Ethics, Breakpoints

Hume, Lynn
May 2004
Bond Buyer;5/27/2004, Vol. 348 Issue 31893, p5
Trade Publication
Reports on the U.S. Securities and Exchange Commission's approval of final rules that would require registered investment advisers to adopt codes of ethics that establish standards of conduct for their employees. Requirement that funds with front-end sales loads disclose more information to investors about their eligibility for breakpoint or volume discounts.


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