In new guidance, FINRA offered recommendations on investment companies' use of sales charge discounts and waivers on investment company products.
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An SEC final rulemaking intended to simplify and update the regulatory framework for "fund of funds" arrangements was published in the Federal Register.
The SEC adopted a new rule and related amendments in order to simplify and update the framework for fund of funds arrangements.
The MSRB proposed several rule changes to align its rules with the SEC's Regulation Best Interest.
Several industry associations proposed amendments to an SEC-proposed new rule intended to "streamline and enhance" the regulatory framework for "funds of funds arrangements."