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Monthly Archives: March 2015

Another Variation About the SEC Sweep

SEC Distribution

Distribution in Guise’ Enforcement Actions in Works: SEC

In case you missed this article in today’s issue of Ignites. Looks like what they examined in the “Distribution in Guise” sweep will  be covered now in regular exams of funds. This should take it down stream to some of the smaller funds as the sweep probably just hit the big fund companies. Read more

Thoughts on CITs

DTCC unveils mutual fund data tool