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The health and safety of all participants in the securities markets is of paramount importance
You state that, because of the coronavirus disease (COVID-19) outbreak, there is a short- term dislocation in the market for a variety of debt securities
The Commission will continue to monitor the current situation and may issue other relief as necessary or appropriate
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
The Commission intends to continue to monitor the current situation
Contact the Commission with guidance or relief requests
“If you’re going to save this industry, you’re going to have to do a 180-degree turn"
BPU Investment Management agrees to pay $927,000 to settle charges
The portolio manager managed the Fund differently from what was represented to investors and their advisers
The dual registrant will pay a $1.5 million penalty
JP Morgan failed to provide available sales charge waivers in at least 58,000 transactions involving approximately 16,734 accounts
Questions would like to hear from the industry on detailed
Rulemaking recommendation on new disclosure framework for variable products coming
MS sold customers more expensive share classes when less expensive share classes were available
SEC claims adviser failed at its fiduciary duty; advisers fires back
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Henley & Company Wealth Management, LLC in connection with ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Comprehensive Capital Management, Inc. (“CCM”) in connection with its ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Michigan Advisors, Inc. in connection with its mutual fund ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by Founders, a dually-registered investment adviser and broker-dealer, in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser INVP in connection with its mutual fund share class ...
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