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12b-1 Fees (46)
Your search for 12b-1 Fees returned 46 results.
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12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/20/2018 | Content area: Broker-Dealer
Just when you thought FINRA could not possibly extract more large fines in connection with the Order Audit Trail System more damage is being reported ...
9/13/2018 | Content area: Investment Adviser
Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party b...
4/19/2018 | Content area: Broker-Dealer
While the SEC’s proposed Regulation Best Interest runs hundreds of pages, you can score a quicker sense of it from the agency’s two-page summary of it...
4/12/2018 | Content area: Investment Adviser
The window period to take advantage of the SEC’s Share Class Selections Disclosure Initiative is fast drawing to a close with its attendant June 12 de...
2/28/2018 | Content area: Investment Adviser | Broker-Dealer
Ameriprise did so without disclosing that it would receive greater compensation from the Eligible Customers’ purchases of the more expensive share cla...
2/22/2018 | Content area: Investment Adviser
Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, Feb...
2/12/2018 | Content area: Investment Adviser
This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with...
9/21/2017 | Content area: Investment Adviser
SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a complianc...
9/14/2017 | Content area: Investment Adviser
STIS did not adequately inform its advisory clients of the conflicts of interest presented by its IARs’ share class selections and the receipt by STIS...
9/08/2017 | Content area: Investment Adviser
Envoy failed to adequately disclose in its Forms ADV or otherwise the conflict of interest presented by its recommendation of mutual fund share classe...
9/07/2017 | Content area: Broker-Dealer
As part of its stepped-up scrutiny of high-risk brokers, FINRA is preparing new guidance on what firms should be doing to exercise heightened supervis...
8/01/2017 | Content area: Investment Adviser
Cadaret invested advisory clients in mutual fund share classes with 12b-1 fees instead of lower-fee share classes of the same funds that were availabl...
10/20/2016 | Content area: Investment Adviser | Broker-Dealer
Despite having multiple policies dating back to 2008, Bank Leumi’s progress in following the policies and exiting their U.S. cross-border securities b...
8/04/2016 | Content area: Investment Adviser
An enforcement action brought Aug. 2 against a Eugene, Oregon-based investment adviser has further driven home the SEC’s focus on share class issues. ...
7/13/2016 | Content area: Investment Adviser
If your firm receives revenue from the sale of mutual funds, be sure you have compliance P&Ps designed to avoid placing clients in a more expensive sh...
3/17/2016 | Content area: Investment Adviser
Three American International Group affiliates have been caught up in the SEC’s active probe of conflicts of interest and disclosure surrounding mutual...
3/14/2016 | Content area: Investment Adviser | Broker-Dealer
This proceeding arises from breaches of fiduciary duty and multiple compliance failures by Respondents Royal Alliance, SagePoint and FSC in their feeb...
1/15/2016 | Content area: Investment Adviser
A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in Dublin, O...


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