Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Mutual Funds: Disclosure (171)
Your search for Mutual Funds: Disclosure returned 171 results.
Sorted by Date

4/12/2019 | Content area: Broker-Dealer
Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessar...
4/11/2019 | Content area: Investment Adviser
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Ano...
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
Respondent and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or other...
3/11/2019 | Content area: Investment Adviser
Respondent was obligated to disclose all material facts to its clients, including any conflicts of interest between itself and/or its associated perso...
3/11/2019 | Content area: Investment Adviser
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...
3/11/2019 | Content area: Investment Adviser
Mutual funds typically offer investors different types of shares or “share classes.” Each share class represents an interest in the same portfolio of ...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Raymond Lawrence Lent (dba The P...
3/11/2019 | Content area: Investment Adviser
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...
3/11/2019 | Content area: Investment Adviser
Respondent was required to give its clients sufficient information so that they could understand the conflicts of interest of the Respondent concernin...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser D.A. Davidson & Co. in connectio...
3/11/2019 | Content area: Investment Adviser
Respondent advised clients to purchase or hold4 mutual fund share classes that charged 12b-1 fees when lower-cost share classes of those same funds we...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Spire Wealth Management, LLC in ...
3/11/2019 | Content area: Investment Adviser
Respondent self-reported to the Commission the violations discussed in this Order pursuant to the Division of Enforcement’s (the “Division”) Share Cla...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
Respondent failed to disclose in its Form ADV or otherwise the conflicts of interest related to (a) its receipt of 12b-1 fees, and/or (b) its selectio...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US