The mutual fund fees known as 12b-1s have morphed into something few envisioned when the SEC created them 25 years ago. With regulators now poised to address that transformation, many reps are ...

Source: Flickr user kev-shine. You probably know that mutual funds charge fees and that, in general, you should pay as little as possible. But you may not fully realize what a difference a seemingly ...

A dually registered investment firm with about $1.17 billion in managed assets settled charges last week with the Securities and Exchange Commission over claims the firm recommended mutual fund share ...

The Securities and Exchange Commission said on Monday it had reached an agreement with 1st Global Advisors Inc., now known as Avantax Advisory Services Inc., to pay a $16.9 million penalty over not ...

The Securities and Exchange Commission ordered NPB Financial Group to pay more than $1 million to settle charges that it failed to disclose payments it received from mutual funds that it recommended ...

Fund costs are down, transparency is up — and yet avoiding controversial fees in a portfolio is still easier said than done due to one of the industry's bugaboos: 12b-1 fees. Processing Content Even ...

After years on the back burner, the Securities and Exchange Commission's rule governing mutual fund marketing fees is in store for a "complete overhaul," according to commission chairman Christopher ...

Making good on its promise to continue to put 12b-1, revenue sharing and wrap fee programs under the microscope, the Securities and Exchange Commission has hit Rothschild Investment Corp. of Chicago ...

As with any for-profit business enterprise, the mutual fund industry charges fees for the services it offers. Actively managed fund services consist of managing a pool of commingled assets with an ...