Non-ERISA 403(b)s Should Pay Attention to SEC Proposed Conflict of Interest Rule
Participants in non-ERISA 403(b) plans could be considered "retail customers" under a section of the SEC's proposal, a law alert warns.
Tag: conflict of interest
SEC Issues FAQs About Share Class Selection Disclosure Initiative
If an adviser reduced their fee due to the receipt of 12b-1 fees, the SEC might not ask for any disgorgement; for instance, the SEC says, if an...