Year: 2020

The question of whether and how to disclose the payment of 12b-1 and similar fees in connection with the acquisition of mutual fund shares has been at the center of a number of Commission actions. It was the central question …

Failure to Disclose Conflicts Draws Sanctions for Adviser Read More »

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The country continues to slowly open in an effort to reinstate a semblance of normal life and business. As that process continues the Commission has held a series of conferences and updated various rules. This week there will be a …

This Week In Securities Litigation (Week of June 1, 2020) Read More »

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