The regulator will scrutinize the selling of L share mutual funds, which are used in annuities and have substantial upfront sales fees, says Kevin Goodman, who heads the broker-dealer examination program for the SEC.
Estimated reading time: 0 minutes, 22 seconds
Most Read
-
-
Feb 21 2011
-
Written by Administrator
-
-
-
Mar 09 2013
-
Written by Staff Writer
-
-
-
Nov 07 2012
-
Written by Administrator
-
-
-
Nov 07 2012
-
Written by Administrator
-