SEC seeks comments on investor disclosure rules 

The Securities and Exchange Commission (SEC)  today published on its website a request for public comment on financial literacy and investor disclosure issues that it is studying as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The SEC is seeking comment on methods to improve the timing, content and format of disclosures to investors regarding financial intermediaries, investment products and investment services. It also requests comment on information that retail investors need to make informed financial decisions on hiring a financial intermediary or purchasing an investment product or service typically sold to retail investors, including mutual funds. In addition, the SEC seeks comment on how to make investment expenses and conflicts of interest in investment transactions more transparent to investors. Click here to access a comment page. 

  

The Securities and Exchange Commission (SEC)  today published on its website a request for public comment on financial literacy and investor disclosure issues that it is studying as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The SEC is seeking comment on methods to improve the timing, content and format of disclosures to investors regarding financial intermediaries, investment products and investment services. It also requests comment on information that retail investors need to make informed financial decisions on hiring a financial intermediary or purchasing an investment product or service typically sold to retail investors, including mutual funds. In addition, the SEC seeks comment on how to make investment expenses and conflicts of interest in investment transactions more transparent to investors. Click here to access a comment page.