Tag: 12b-1
Boston Firm Pays Over $1.85 Million to Settle Share Class Charges
Boston Firm Pays Over $1.85 Million to Settle Share Class Charges SEC Continues Crackdown, Expanding Focus on Revenue Sharing, Cash Sweep Vehicles February 22, 2021 In its latest enforcement case...
February 22, 2021
Tags: 12b-1, Revenue Sharing, SEC Enforcement, Share Class Disclosure
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