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SEC Seeks Public Comment on Investor Disclosure Issues

As part of a review mandated by the Dodd-Frank Act, the SEC has requested public comment on financial literacy and investor disclosure issues, including issues affecting mutual funds.  The public comments will supplement the SEC's own qualitative and quantitative research which includes investor testing.  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;
  • information that retail investors need to make informed financial decisions before engaging a financial intermediary or purchasing investor products or services typically sold to retail investors, including mutual funds; and
  • how to make expenses and conflicts of interest more transparent to investors, including during mutual fund transactions.

More information, including the SEC comment request, can be found here