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SEC settles enforcement action against NYLIM relating to disclosures to fund board during 15(c) process

Vedder Price PC

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USA June 1 2009

On May 8, 2009, the SEC settled an adminstrative enforcement action against New York Life Investment Management LLC ("NYLIM") regarding NYLIM's disclosures to a fund board during three annual investment advisory contract renewal process periods and certain disclosures about the cost to shareholders of a guarantee feature applicable to their investment in the MainStay Equity Index Fund.

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Filed under

  • USA
  • Capital Markets
  • Vedder Price PC

Tagged with

  • SEC
  • Shareholder
  • Investment management

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