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Thursday, February 20, 2003

NASD Names Breakpoint Task Force

by: Sean Hanna, Editor in Chief

The NASD is moving on its break point task force. The SRO released the names of the 22 members of the task force this week. The group is charged with recommending ways in which the mutual fund and brokerage industries can assure that investors are not overcharged when they purchase mutual funds with front-end loads.

Mary L. Schapiro, vice chairman of the NASD is chairing the task force. The other members are:

  • Stuart J. Kaswell, senior vice president and general counsel, SIA;
  • Craig S. Tyle, general counsel, ICI;
  • Elisse B. Walter, executive vice president, Regulatory Policy and Oversight, NASD
  • William C. Alsover, Jr., chairman, Centennial Securities Company, Inc.;
  • Barry P. Barbash, partner, Shearman & Sterling;
  • Ann Bergin, managing director, Mutual Fund Services, Depository Trust and Clearing Corporation;
  • Jonathan Boehm, group vice president, DST Systems, Inc.;
  • Stephanie L. Brown, managing director, Compliance and general counsel, Linsco Private Ledger Corporation;
  • Karnig H. Durgarian, senior managing director, Putman Investments;
  • Terry K. Glenn, chairman of the Americas and President of ML Funds, Merrill Lynch Investment Managers;
  • Tony Green, president, AIM Fund Services, Inc.;
  • Joseph B. Gruber, president and CEO, FSC Securities Corporation and Advantage Capital Corporation ;
  • Paul G. Haaga, Jr., executive vice president, Capital Research and Management Company;
  • George Hrabovsky, president, Alliance Global Investor Services, Inc.;
  • Ron Kessler, vice chairman and executive vice president, A.G. Edwards & Sons, Inc.;
  • Edward Kwalwasser, group executive vice president, New York Stock Exchange;
  • Jeffrey M. Lyons, executive vice president, Asset Management Products and Services, Charles Schwab and Co. Inc.;
  • Norman R. Malo, president and chief operating officer, National Financial Services Corporation;
  • Brian T. Shea, chief operating officer, Pershing, LLC;
  • Erik Sirri, associate professor, Babson College; and
  • Michael Stone, managing director and IIG general counsel, Morgan Stanley, Dean Witter.  

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