Tag: 12b-1
Boston Firm Pays Over $1.85 Million to Settle Share Class Charges
In its latest enforcement case involving adviser selection and disclosure of conflicts arising from sales of mutual fund shares, the SEC has fined a Boston-based dual-registrant for breaches of fiduciary...
February 22, 2021
Tags: 12b-1, Revenue Sharing, SEC Enforcement, Share Class Disclosure
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