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RIA Hit With $5.8M SEC Penalty for 12b-1 Fee Infractions Tied to Wrap Accounts

Retrieved on: 2022-07-22 14:48:51

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RIA Hit With $5.8M SEC Penalty for 12b-1 Fee Infractions Tied to Wrap Accounts. View article details on hiswai:

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... wrap accounts by investing clients' assets in funds with 12b-1 fees. ... trading costs — including transaction fees on mutual fund investments ...

Article found on: www.thinkadvisor.com

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