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"The Names Rule has not been amended since its adoption in 2001. The industry has changed significantly in two decades .... The need for clarity in ...
"Given the breadth of terms such as ESG, growth, and value, how will industry implement the rule and how will we enforce it without engaging ...
"Some funds have claimed that the rule does not apply to them — even though their name suggests that investments are selected based on specific ...
FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options
ESG and mutual fund names are two proposals the SEC will be taking up
FINRA continues to see deficiencies in examinations and communications reviews of alt fund products
Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...
"Fund advisers do owe the funds they manage a fiduciary duty, which includes a duty of care and a duty of loyalty. The Commission can always ...
City National’s centered on not disclosing to clients that there were mutual fund investments that didn’t carry 12b-1 fees
It is a long-standing principle that an investment adviser must “disclose any potential conflicts of interest accurately and completely.”