NASD, the U.S. financial services regulator, announced Wednesday the formation of a 22-person task force to recommend ways in which the mutual fund and brokerage industries can assure that investors are not overcharged when they purchase mutual funds with front-end loads.
Typically, mutual funds offer an investor a reduction in sales loads as the dollar value of the shares the accounts of the investor reaches specified levels, called “breakpoints”.
After routine examinations by NASD found that investors do not always receive the correct discounts, the SEC asked NASD, supported by the Securities Industry Association and the Investment Company Institute, to spearhead the formation of the task force.
The task force will explore and recommend operational changes and ways to improve investor education in this area and explore the potential for simplifying or enhancing disclosure of breakpoints.
“Solving this problem is critical for investor protection, and the formation of this task force is an important step in that direction,” said Robert Glauber, chairman and CEO of NASD.
Mary Schapiro, vice chairman, NASD and president, Regulatory Policy and Oversight, NASD will chair the Task Force. She will be joined by Stuart Kaswell, senior vice president and general counsel, SIA; Craig Tyle, general counsel, ICI; Elisse Walter, executive vice president, Regulatory Policy and Oversight, NASD; with the balance coming from the securities industry.
NASD strikes task force to prevent overcharging on fund sales
Investigation reveals investors don’t always receive correct discounts
- By: IE Staff
- February 19, 2003 February 19, 2003
- 16:30