Print

• 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)

« Return to ABASA Home

Questions? Please contact Christen Grant for more information.