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11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA

Kategoria: Biznes i finanse
Kanał: InvestTalk
Data: 30 listopada 2022, 2:00
Poziom: C1-C2 (zaawansowany)


Ocena: 0 (liczba ocen: 0)

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An SEC complaint highlights what can happen if an advisor breaches their duty to seek 'best execution' for transactions of its advisory clients.

 

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