• Compensation Practices For Retail Sales Of Mutual Funds
  • April 8, 2004 | Author: Susan S. Krawczyk
  • Law Firm: Sutherland Asbill & Brennan LLP - Washington Office
  • As we begin 2004, mutual fund distributors and sellers face considerable uncertainty over the continued permissibility of compensation practices and arrangements utilized in the past. This article discusses the regulatory framework for these practices and arrangements, briefly noting recent enforcement actions and reform initiatives announced or introduced through February 2004.