A broker-dealer settled FINRA charges for supervisory failures over sales of higher fee mutual fund share classes.
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A dually-registered investment adviser and broker-dealer settled SEC charges for failing to disclose conflicts of interest in connection with sources of third-party compensation received through revenue sharing cash sweep payments.
The SEC granted no-action relief to an ESG-focused exchange-traded fund from SEA Rule 14e-5, subject to certain specified conditions.
In a draft report, the European Parliament Committee on Economic and Monetary Affairs proposed amendments to a draft legislative proposal by the European Commission that would revise the Alternative Investment Fund Managers Directive .
An investment adviser settled SEC charges for failing to disclose conflicts of interest related to revenue sharing payments.