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Kestra’s $10.3M settlement is proof fund-fee disclosure remains a priority at the SEC
The Kestra settlement and other recent ones demonstrate the SEC’s concern is extending to revenue sharing.
Clayton’s Capitol Hill coda: Democratic blasts, Republican praise
SEC chairman defends 12b-1 fee crackdown against GOP criticism
SEC orders advisory firm to pay $356,580 over fee disclosures
Signature Financial Services is the latest adviser to be caught in the regulator's 12b-1 fee dragnet
SEC orders firm to pay more than $1 million over 12b-1 fees
Agency charges Burbank, California-based NPB Financial Group with disclosure, best execution failures
SEC wraps up share-class initiative by settling with Merrill, two others
Over two years, the agency's initiative returned more than $139 million to investors
