SEC Continues Fee Disclosure Sweep With $767K Settlement

By Al Barbarino (August 14, 2020, 6:15 PM EDT) -- The U.S. Securities and Exchange Commission struck a more than $767,000 settlement with a California-based investment adviser for a range of alleged disclosure breaches that included the charging of so-called 12b-1 fees when cheaper options existed, a recurring industry issue that the regulator previously made the focus of a yearslong sweep....

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