TAILIEUCHUNG - Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors

Microfinance institutions have been affected by the adverse macro-economic conditions during the global financial and economic crisis, generally through significantly higher bad debt rates among their clients and in some cases through increased difficulties in accessing external sources of funding. With ongoing problems in the banking sector, the target group for microfinance, namely the financially excluded but economically active, might be faced with tightening credit supply by mainstream banks due to their higher risk aversion and increasing need to de-leverage their balance sheets. . | United States Government Accountability Office GAO Report to Congressional Committees July 2011 MUTUAL FUND ADVERTISING Improving How Regulators Communicate New Rule Interpretations to Industry Would Further Protect Investors ACCOUNTABILITY INTEGRITY RELIABILITY YEARS 1921-2011 YEARS 1921-2011 GAO-11-697 July 2011 À GAO Accountability Integrity Reliability Highlights Highlights of GAO-11 -697 a report to congressional committees Why GAO Did This Study Mutual funds are one of the most widely held investment products by Americans and advertising is one method by which investors may obtain information on funds. The Dodd-Frank Wall Street Reform and Consumer Protection Act requires GAO to conduct a review of mutual fund advertising focusing on the advertising of past performance information. This report examines 1 what is known about the impact of fund advertisements on investors 2 the extent to which performance information is included in advertisements and 3 the regulatory requirements for fund advertisements and how they are administered and enforced. To address these objectives GAO reviewed existing and proposed Securities and Exchange Commission SEC and Financial Industry Regulatory Authority FINRA rules conducted a literature review of studies related to mutual fund advertising s impact on investors and reviewed a random sample of 300 fund advertisements. GAO also met with regulators fund companies academics and industry and investor protection groups. What GAO Recommends To help ensure investors are better protected from misleading advertisements SEC should take steps to ensure FINRA develops sufficient mechanisms to notify all fund companies about changes in rule interpretations for fund advertising. Both SEC and FINRA agreed with the recommendation. View GAO-11-697. For more information contact Alicia Puente Cackley at 202 512-8678 or cackleya@. MUTUAL FUND ADVERTISING Improving How Regulators Communicate New Rule Interpretations to Industry Would .

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