Unit Investment Trust
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FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $ 8.4 Million in Customer Restitution
The Financial Sector Regulator (FINRA) has issued investment fund return payment orders against Merrill Lynch, Pierce, Fenner & Smith, Inc. regarding unit investment fund ... -
FINRA: Merrill Lynch to pay $ 11.25 million in case of ITU renewal
FINRA has fined the activities of Stifel and Oppenheimer on similar charges over the past two years. FINRA has ordered Merrill Lynch, Pierce, Fenner ... -
Britain to investigate if Amazon and Google are doing enough to block fake reviews
TECHNOLOGY UK to survey Amazon and Google for fake reviews Britain’s competition regulator on Friday opened a formal investigation into whether Amazon and Google ... -
Bank of America to Pay $ 11.7 Million for Excessive Selling Charges – US Regulator
By Jonathan Stempel NEW YORK (Reuters) – Bank of America Corp’s Merrill Lynch unit will pay nearly $ 11.7 million to resolve allegations it ... -
Bank of America to Pay $ 11.7 Million for Excessive Selling Charges
By Jonathan Stempel NEW YORK (Reuters) – Bank of America Corp’s Merrill Lynch unit will pay nearly $ 11.7 million to resolve allegations it ... -
Pooling Money: Understanding Open-Ended Investment Trusts
“Don’t put all your eggs in one basket.” This timeless adage sums up the concept of diversification well – a way in which investors ... -
BSP seeks to streamline UITF rules
THE BANGKO SENTRAL ng Pilipinas (BSP) seeks to streamline the requirements of Ficreation by the nancial institutions of unitary investment funds (UITF). “The proposed ... -
BDO’s ESG unit trust fund sees AUM increase by 32%
BW FILE PHOTO The continuation of BDO UNIBANK, Inc.The Capabilities Unit Investment Trust Fund (UITF) saw an increase in assets under management (AUM) in ... -
5 Investments You Can’t Hold in a Qualified IRA / Plan
For millions of Americans, the freedom offered by Self-Directed, Traditional, and Roth IRAs can be very appealing. These accounts are not limited to the ... -
SEC Enacts Rule 2a-5: Get Highlights of Upcoming Adjustments
Final 12 months, the Securities and Change Fee proposed rule 2a-5 below the 1940 Funding Corporations Act. Rule 2a-5 was supposed to replace valuation ...
