Regulatory Issues

  • warning: include(/var/www/vhosts/investorscoalition.com/httpdocs/modules/views/theme/views-view-list.tpl.php): failed to open stream: Permission denied in /var/www/vhosts/investorscoalition.com/httpdocs/includes/theme.inc on line 1078.
  • warning: include(/var/www/vhosts/investorscoalition.com/httpdocs/modules/views/theme/views-view-list.tpl.php): failed to open stream: Permission denied in /var/www/vhosts/investorscoalition.com/httpdocs/includes/theme.inc on line 1078.
  • warning: include(/var/www/vhosts/investorscoalition.com/httpdocs/modules/views/theme/views-view-list.tpl.php): failed to open stream: Permission denied in /var/www/vhosts/investorscoalition.com/httpdocs/includes/theme.inc on line 1078.
  • warning: include(): Failed opening './modules/views/theme/views-view-list.tpl.php' for inclusion (include_path='.:/opt/plesk/php/5.3/share/pear') in /var/www/vhosts/investorscoalition.com/httpdocs/includes/theme.inc on line 1078.
Forum Topics Posts Last post
Large broker-dealers are using their market power over mutual funds to extract unnecessary fees for marketing and distributing fund shares.
1 2 8 years 10 weeks ago
by Niels Holch
Broker-dealers and other financial intermediaries manage investor accounts that are hidden from mutual funds, causing several significant regulatory problems.
1 2 7 years 50 weeks ago
by aline
After the financial crisis, the SEC is updating its regulatory framework for money market funds.
0 0 n/a
SEC Rule 12b-1 permits mutual funds to pay broker-dealers and other financial intermediaries sales and distribution fees. The SEC is in the process of reforming this rule to align more carefully the interests of the funds and their advisers with the interests of investors.
0 0 n/a