A broker-dealer settled SEC charges for failing to comply with Regulation Best Interest in connection with recommendations to retail brokerage customers purchasing mutual fund shares in their IRAs.
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An investment adviser settled charges with the SEC for failing to disclose to the Board of an ETF managed by the adviser, the terms of a contract with a social media influencer.
A broker-dealer and its affiliated investment advisers settled SEC charges for providing securities services to mutual funds in violation of the ineligibility provisions of the Investment Company Act.
FINRA proposed amendments to its rules to allow members to project the performance of, or provide a targeted return regarding, security or asset allocations.
A broker-dealer settled charges with FINRA for causing customers to overpay in excess sales charges and fees on their accounts.