All Share Class Selection Disclosure Initiative articles
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ArticleNPB Financial Group to pay $1M for disclosure failures
NPB Financial Group has reached a $1 million settlement with the Securities and Exchange Commission to settle charges for breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
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ArticleSEC reaches settlements with 17 advisory firms over disclosure failures
The SEC on Monday announced settled charges against 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices.