The
The SEC revealed these plans in a performance budget.
The SEC also plans to take final action on rules affecting self-regulatory organizations, like the NYSE Group's
In addition, the SEC will revisit point-of-sale disclosure for broker-sold mutual funds and soft-dollar arrangements.
Further, the SEC plans to take final actions on net capital requirements, the regulation of bank brokerage activities and regulation of credit-rating concerns.
The SEC will scrutinize approximately one third of fund portfolios in the upcoming months, down from earlier years. This is evidence of the fact that the U.S. financial market is slowly but surely recovering from the scandals of a few years ago.