12b-1 Fees

This proceeding arises from breaches of fiduciary duty and multiple compliance failures by Respondents Royal Alliance, SagePoint and FSC in their feebased advisory businesses. American International ...

A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in ...

Receipt of 12b-1 fees not only created a conflict of interest that was not adequately disclosed to EFG’s clients, but favoring 12b-1 funds over others ...

Getting a handle on the stream of share classes offered by mutual funds and their attendant fees can seem formidable. Yet recent share class allocation ...

The SEC Sept. 21 charged a New York-based investment adviser and its affiliated distributor with improperly using $25 million in mutual fund assets to pay ...

These proceedings arise from the improper use of approximately $25 million in mutual fund assets to pay for the distribution and marketing of fund shares ...

Confidentiality agreements that attempt to silence potential SEC whistleblowers may violate rule 21F-17 which prevents firms from impeding communications with the commission about securities law ...

A highlight of FINRA’s annual spring conference is when firms get a chance to turn the tables on top officials of the SRO and ask ...

This section is organized as follows: Paragraph (a) of this section specifies the criteria that must be met to qualify for exemption from registration under ...