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SEC Reviewing Point-of-Sale Disclosures Beyond Mutual Fund Industry, Schapiro Says

February 15, 2010 in Securities Regulation & Law Report · Leave a Comment 

Securities and Exchange Commission is looking at requiring point-of-sale disclosures beyond the mutual fund context to other financial products that are sold to retail investors, such as equity-indexed annuities, Chairman Mary Schapiro said Feb. 5.

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