Tag: Conflicts of Interest
The SEC has fined a Texas-based investment adviser a total of $40 million in two enforcement actions regarding failures to disclose certain practices by the adviser in connection with teacher...
August 11, 2020
Tags: 12b-1 Fees, Best Execution, Conflicts of Interest, Jay Clayton, Mutual Funds, Retirement Plans, Revenue Sharing, SEC Enforcement, Share Class Disclosure, Wrap Fees
Takeaways for Advisers from SEC FAQs on Regulation Best Interest
Takeaways for Advisers from SEC FAQs on Regulation Best Interest January 16, 2020 The SEC staff in the Division of Trading and Markets has issued its first round of...
January 16, 2020
Tags: Conflicts of Interest, Form CRS, Reg BI
In a 3-2 vote, the SEC has adopted amendments to the rule regarding the process for including shareholder proposals in issuers’ proxy statements, making it more difficult for shareholders to...
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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