New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight
Edward Jones tops J.D. Power investor satisfaction ranking for sixth consecutive year
A mandatory data request to mutual fund dealers will be issued this fall
The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors
International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules
Mutual fund dealer fined $125,000 for compliance failings
Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds
The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds
Training, due diligence, trading instructions among issues MFDA firms will have to consider
The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors