Tag: Revenue Sharing
Louisiana Adviser Pays $2.3 Million to Settle Share Class Selection, Revenue Sharing, Other Charges
Louisiana Adviser Pays $2.3 Million to Settle Share Class Selection, Revenue Sharing, Other Charges October 5, 2020 The SEC has brought an enforcement action against a dually-registered investment adviser...
October 05, 2020
Tags: 12b-1 Fees, Revenue Sharing, SEC Enforcement, Share Class Disclosure
SEC Adopts Amendments to Shareholder Proposal Rule, Raising the Bar for Submission and Resubmission of Shareholder Proposals October 2, 2020 In a 3-2 vote, the SEC has adopted amendments...
October 02, 2020
Tags: 12b-1 Fees, Best Execution, Conflicts of Interest, Money Market Fund, Mutual Funds, Revenue Sharing, SEC Enforcement, Share Class Disclosure
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