Search for: "Affiliate of Mutual Fund 7"
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20 Jun 2012, 1:42 pm
If you directly hold shares of a U.S. mutual fund you do not need to report the mutual fund or the holdings of the mutual fund. [read post]
31 Aug 2009, 12:30 pm
Open-ended mutual funds generally are not subject to this requirement. [read post]
14 Apr 2008, 9:02 am
Both AFSCME and CtW are campaigning against directors at Seattle-based banking firm Washington Mutual. [read post]
12 Jun 2023, 2:08 pm
Between January 31, 2018, and February 27, 2021, three Cetera Advisors customers purportedly gave Smith ten checks totaling $45,100 made payable to a mutual fund company affiliated with the firm. [read post]
20 Sep 2015, 9:41 am
A Series 6 license only allows the broker to solicit variable contracts and open-end mutual funds and does not allow the broker to solicit general securities. [read post]
7 Jul 2022, 6:21 am
Mayberg is a co-founder and principal of ProShares and ProFunds, exchange-traded funds and mutual funds, where he served as president. [read post]
2 Jul 2007, 11:32 am
Basically, she recommended unsuitable mutual funds and variable annuities to a number of elderly and retired customers. [read post]
7 Jan 2020, 10:21 am
Investment company examinations will focus on mutual funds and exchange-traded funds, the activities of their RIAs, and the oversight practices of their boards of directors. [read post]
17 May 2023, 12:30 pm
Giannetti’s administrative revocation was effective as of October 7, 2022. [read post]
13 Jul 2017, 6:59 am
A Series 6 license is a very limited license that only allows brokers to sell variable annuities and open end mutual funds. [read post]
16 Aug 2011, 10:05 pm
, CNBC, December 9, 2010 Allstate Sues Morgan Stanley Over Mortgage-Backed Securities, Property Casualty 360, July 7, 2011 More Blog Posts: AIG Files $10 Billion Mortgage-Backed Securities Lawsuit Against Bank of America, Institutional Investor Securities Blog, August 13, 2011 Investors in Oppenheimer Mutual Funds Considering Opting Out of $100M Class Action Settlement Have Until August 31, Institutional Investor Securities Blog, August 6, 2011 Morgan Keegan Settles… [read post]
26 Sep 2022, 1:56 pm
The earliest, filed on 7/15/2021, alleges that Rodriguez used a customer’s credit line for his own personal benefit. [read post]
28 Jan 2009, 9:40 am
Huffman assured investors that he "operated like a mutual fund. [read post]
5 Jan 2015, 3:31 pm
Statements must be sent to the fund or, in certain cases, investors in the fund, within 120 days after the fund’s fiscal year end. [read post]
24 Jul 2008, 12:24 am
Would you personally buy a mutual fund, to go into YOUR IRA, if you only were told the investment company AFTER you agreed to buy it, AND the only thing you had to rely on for your decision was a hand type proposal from a salesman? [read post]
30 Jan 2020, 3:25 pm
As in prior years, OCIE emphasized scrutiny of advice given to retail investors regarding high-risk products and retail-targeted investments, including mutual funds, ETFs, municipal securities and other fixed income securities, and microcap securities. [read post]
2 Oct 2014, 3:44 pm
In addition, an investment company is subject to restrictions on transactions with affiliates of the manger. [read post]
18 May 2012, 10:14 am
However, this section does not prohibit the use of public funds or credit for the payment of premiums on nonassessable property and casualty, life, health, or accident insurance policies and annuity contracts issued by a mutual insurance company authorized to do business in this State. [read post]
22 Aug 2011, 2:00 am
L. 111-203 (July 21, 2010). [7] See Rose Marie Kushmeider, The U.S. [read post]
3 Apr 2020, 8:19 am
Lenders and borrowers on loans made prior to June 5, 2020, may mutually amend such loans to allow for the longer repayment term. [read post]
