The staff of the Securities and Exchange Commission’s (SEC) Division of Investment Management released frequently asked questions (FAQs) on October 18, 2019, which discuss certain compensation arrangements and related...more
10/30/2019
/ Broker-Dealer ,
Conflicts of Interest ,
Division of Investment Management ,
Duty of Loyalty ,
Fiduciary Duty ,
Form ADV ,
Investment Adviser ,
Mutual Funds ,
Revenue Sharing ,
Sale of Assets ,
Securities and Exchange Commission (SEC) ,
Share Class Selection Disclosure Initiative (SCSD)