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Diane Publishing Books
Mutual Fund Industry: SECís Revised Examination Approach Offers Potential Benefits, but Significant Oversight Challenges Remain
Richard J. Hillman (au)
As the front-line regulator of mutual funds, the Securities & Exchange Commission (SEC) plays a key role in protecting the nearly half of all U.S. households owning mutual funds, valued around $8 trillion in 2005. Mutual fund abuses raised questions bout the integrity of the industry & quality of oversight provided by SEC & self-regulatory organizations that regulate broker-dealers selling funds. This report assesses: (1) changes SEC has made to, or is planning for, its mutual fund examination program; (2) key aspects of SECís quality control framework for routine fund examinations; & (3) the adequacy of SECís oversight of the NASD & the N.Y. Stock Exchange in protecting shareholders from mutual fund sales abuses. Charts & tables.
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