Fees and Expenses

Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would spell out ...

This week shapes up as a big one for RIAs as the Commission is set July 21 to consider a final rule that would force ...

NFA Compliance Rule 2-37(g) prohibits Members registered as broker-dealers under Section 15(b)(11) of the Exchange Act from charging more than a fair commission for security ...

This break-even analysis is a sample and the fees and expenses included in it may vary from those charged by other commodity pools. The analysis ...

If fees and charges associated with futures transactions are not determined on a per trade or round-turn trade basis, the Member must provide the customer ...

The SEC rejects a commissions-relationship by reps who aren't registered.

Because "up front" fees and charges can have a significant impact on the net opening equity of pools and managed accounts, the above NFA rule ...