FINRA fines broker-dealer for failing to apply class A sales charge waivers for certain eligible customers on its mutual fund platform
Richard F. Kerr
| Year of publication: |
2014
|
|---|---|
| Authors: | Kerr, Richard F. |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 15.2014, 4, p. 53-56
|
| Subject: | USA | Financial industry regulatory authority (FINRA) | Broker-dealer | Mutual fund | Sales charge | Waivers | Investmentfonds | Investment Fund | United States | Finanzmarktregulierung | Financial market regulation |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10010462124