Search for: "Mutual Benefit Funding"
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30 May 2018, 11:47 am
The claims for the accident totaled $3,500, but when the company had only $2,000, the President and Treasurer borrowed money to fund the claims. [read post]
1 Jul 2009, 7:49 am
Target-Date mutual funds are not always what they appear to be, reports Leslie Wayne in her June 25, 2009 article in the New York Times entitled "Target-Date Mutual Funds May Miss Their Mark. [read post]
18 Apr 2012, 3:17 pm
Chamber of Commerce today filed a legal challenge to the Commodity Futures Trading Commission’s final rule imposing redundant regulations on registered investment companies, such as mutual funds and exchange traded funds, without satisfying the agency’s obligation to weigh the costs or benefits of the rule. [read post]
2 Jul 2007, 7:17 pm
The NASD fined four firms for mutual fund sales violations and for failures to properly supervise such sales. [read post]
28 Mar 2011, 6:17 am
Shareholder proposals provide one mechanism via which mutual funds can influence firm policies to benefit shareholders. [read post]
20 Mar 2019, 10:00 am
In the second half of the show, Victor compares and contrasts index and mutual funds. [read post]
9 Apr 2018, 5:00 am
I encourage all mutual fund firms to follow suit. [read post]
6 Sep 2018, 9:40 am
According to the Letter of Acceptance, Waiver & Consent, during the relevant period, Lincoln Investment Planning did not have a supervisory system and procedures designed to ensure that eligible clients who bought mutual funds got the benefit of sales charge waivers. [read post]
18 Oct 2012, 4:58 am
HSI’s complaint contended that ING included certain mutual funds as investment options based on the funds’ revenue-sharing payments to ING, rather than the funds’ potential to benefit the plan participants – in essence, that ING chose the mix of mutual funds it would offer the 401(k) plan participants on the basis of the fee income that would be shared with ING by the mutual fund.The court found… [read post]
26 Nov 2008, 4:43 pm
Making mutual fund information easier to read is not for the public's benefit. [read post]
1 Nov 2006, 1:52 pm
Is it a mutual fund? [read post]
23 Oct 2008, 3:37 am
Banorte Securities International, Ltd. has agreed to a $1.1 million fine to settle charges that it recommended to customers that they buy Class B off-shore mutual fund shares even though they would have benefited more financially by buying Class A shares. [read post]
6 Jan 2020, 10:00 am
They also alleged that the decision to invest in mutual funds offered by U.S. [read post]
15 Jul 2015, 11:07 am
Brad Bennett, Executive Vice President and Chief of Enforcement at FINRA, said, “In this case, FINRA is ordering meaningful restitution to adversely affected investors consistent with our commitment to ensure that mutual fund investors get the full benefit of available fee and expense reductions. [read post]
8 Nov 2023, 9:05 pm
But CITs are not mutual funds. [read post]
9 Jun 2023, 5:29 am
The traditional way of investing in retirement funds such as stocks, bonds, and mutual funds may not be sufficient to protect senior citizens from the effects of economic downturns. [read post]
16 Dec 2010, 5:19 pm
But the ICI fears that the benefits of a unitary board are threatened by the proxy access rule’s invitation to elect different directors for particular funds within the complex.The brief also contended that the SEC relied on empirical studies that expressly excluded funds. [read post]
29 Nov 2010, 9:05 am
If the investment is carried out through an Italian mutual fund the tax rate of 12.5% is charged upon the fund. [read post]
4 Dec 2014, 5:21 am
This pattern of mutual fund switching was found to be unsuitable because it incurred additional costs on the customers without any corresponding benefit. [read post]
2 May 2019, 6:38 am
"Funds of funds" are created when a mutual fund or other type of fund invests in shares of another fund. [read post]
