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Fees and Expenses
Blackbook Capital charged customers $60.50 in addition to or in lieu of commissions on 4,515 transactions over a roughly two-year period, FINRA says. The firm ...
Investment Advisers Act of 1940 – Section 205(a)(1) Amerivest Investment Management, LLC August 19, 2014 Response of the Chief Counsel's Office Division Of ...
Securities Exchange Act of 1934Section 31 -- Transaction Fees Recovery of cost of servicesThe Commission shall, in accordance with this section, collect transaction fees and ...
They were the words that jolted the private equity industry. SEC official David Blass spoke in April 2013, warning private equity fund advisers that transaction-based ...
July 28, 2014 Your letter dated July 28, 2014 requests our assurance that we would not recommend enforcement action to the Securities and ...
The fees and expenses charged by sponsors became a far bigger issue this year after an official of the U.S. Securities and Exchange said in ...
A firm going through an SEC exam reports intense interest by examiners at what wrap fee sponsors are doing to monitor step-out trades by subadvisers. ...
Last month, we passed along best practices for what to include on invoices (IA Watch, May 12, 2014). Nancy Lininger of The Consortium, a consultant ...
The trend of accounts shifting to the fee-side of the equation is by now well established. The question comes up, though, is would be it ...
A year has passed since SEC official David Blass created a stir by reminding the industry that receiving transaction-based compensation may require a firm to ...