Fees and Expenses

The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will pay ...

This private equity fund adviser settled an SEC enforcement case by agreeing to pay more than $2 million for Advisers Act violations. These included not ...

Securities regulators, broker-dealers and other financial institutions will form a working group to figure out how to make brokerage fee disclosures easier for investors to ...

Former SEC Division of Investment Management Director Norm Champ talks about the hedge fund industry.

SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping

Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...

The fraud case took nearly four years to come to trial but only two hours for a jury to deliver a guilty verdict. A Massachusetts ...

Blackbook Capital charged customers $60.50 in addition to or in lieu of commissions on 4,515 transactions over a roughly two-year period, FINRA says. The firm ...

    Investment Advisers Act of 1940 – Section 205(a)(1) Amerivest Investment Management, LLC August 19, 2014 Response of the Chief Counsel's Office Division Of ...

Securities Exchange Act of 1934Section 31 -- Transaction Fees Recovery of cost of servicesThe Commission shall, in accordance with this section, collect transaction fees and ...