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SEC In Settlement With Investment Advisers On Mutual Fund Sales

TedTed
edited March 2019 in The Bullpen
FYI: (This is a follow-up article.)

The U.S. Securities and Exchange Commission announced on Monday it had reached a settlement with 79 investment advisers on charges of the improper sale of mutual fund shares, returning more than $125 million to clients.
Regards,
Ted
https://www.reuters.com/article/us-usa-sec-advisers/sec-in-settlement-with-investment-advisers-on-mutual-fund-sales-idUSKBN1QS2FS
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