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Forex Broker The NYSE will soon operate under new rules - but the Exchange will continue to regulate itself. What can investors expect?

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Agency Brokerage Spark December 25, 2003 (AXcess News) New York - On December 17, 2003, the Securities and Exchange Commission voted to adopt a new governing structure for the New York Stock Exchange.

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Business Broker In essence, the SEC signed off on proposals crafted by Interim NYSE Chief, John Reed, including a dramatic reduction in the number of NYSE Directors, and the appointment of independent directors.

Brokerage Account But the SEC added a wrinkle or two, saying that the NYSE would be permitted to split the roles of Chairman and Chief Executive Officer. Both of those roles had been filled by Richard Grasso, who resigned under pressure earlier this year.

Stock Broker Under the new structure, board members (with the exception of the CEO) will be required to be independent - meaning they can have no present relationship with Exchange management, member brokerage firms, or NYSE listed companies.

Brokerage Online Stock Trading The streamlined Board of Directors will be reduced from the present 24 to 27 members to 6 to 12 members, plus the Chairman and CEO. A separate Advisory Board, having 20 to 25 members, will include representatives of brokerage firms and listed companies.

Broker Justin Ticket Interim NYSE Chairman Reed has proposed that the Advisory Board also include one representative of the investing public. Ironically, rather than demonstrate sensitivity to the interest of investors, the designation of a single investor advisor would seem to reinforce the notion that the NYSE and those in charge of its future remain out of touch with the public.Although many observers have recommended that the NYSE surrender its regulatory functions to an independent entity, the SEC has not adopted that concept. Instead, regulatory functions will be overseen by the Regulatory Oversight & Regulatory Budget Committee of the NYSE Board, which will exercise control over the NYSE's regulatory plan, budget and staffing, and recommend the compensation of senior regulatory employees. A Chief Regulatory Officer will report to that Committee.Other Committees will approve and review compensation, audits and governance matters.

Real Estate Brokerage On the same day it approved these changes, the SEC also tackled the ongoing mutual fund crisis, calling for enhanced disclosure of mutual fund breakpoint discounts. Enhanced disclosure would assist investors in understanding the breakpoint opportunities available to them.

Commodity Broker As the SEC explained, some mutual funds with a front-end sales load provide discounts for larger investments. The investment levels required to obtain a reduced sales load are commonly referred to as "breakpoints." In determining whether an investor meets a "breakpoint," funds often allow the investor to use a "right of accumulation" to aggregate shares purchased at different times, in different funds within a fund family, and by family members of the investor.

Brokerage House In recent years dozens of brokerage firms have failed to deliver "breakpoint discounts" to investors. An examination late last year revealed that in 32% of the transactions that appeared to be eligible for a reduced sales charge, investors did not receive the full reduction to which they were entitled.

Real Estate Broker Exam The new SEC proposals would:

Brokerage Services require a mutual fund to provide a brief description in its prospectus of arrangements that result in sales load breakpoints, including a summary of eligibility requirements, with more detailed information permitted to be in the statement of additional information (SAI);
require a mutual fund to describe in its prospectus the methods used to value accounts in order to determine whether a shareholder has met sales load breakpoints;

Broker Live Ticket require a mutual fund to state in its prospectus, if applicable, that in order to obtain a breakpoint, it may be necessary for a shareholder to provide information and records, such as account statements, to a mutual fund or financial intermediary; and require a mutual fund to state in its prospectus whether it makes available on its website information regarding its breakpoints.

Online Brokerage Firm Investors who believe that they have been entitled to breakpoint discounts, but did not receive them, should ask their broker to correct the error. If the broker fails to do so, the investor should contact the brokerage firm

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