SEC to Seek Comment on Funds, Investment Adviser SROs

Sanchez, Humberto
February 2003
Bond Buyer;2/5/2003, Vol. 343 Issue 31567, p4
Trade Publication
Reports on plans for creation of self-regulatory organizations (SRO) by the U.S. Securities and Exchanges Commission to oversee mutual funds and investment advisers. Decision of the commission to seek comments on proposed rule changes; Proposed compliance rules to frequently examine mutual funds and investment advisers; Criticism of SRO plans by various industry groups.


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