Securities and Exchange Commission (Sec)

Vanguard fined more than $100 million by SEC over violations involving target date retirement funds

The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target date funds.

The Wall Street Journal on MSN · 16h

Vanguard to Pay $106.4 Million to Resolve Alleged Violations Linked to Retirement Funds

The SEC said a lack of notifications by Vanguard drove higher capital gains tax bills for many retail investors.

Bloomberg L.P. · 17h

Vanguard to Pay $106 Million Over Retirement Fund Violations

Vanguard Group will pay more than $106 million to settle US Securities and Exchange Commission allegations that it made misleading statements about capital gains distributions and tax consequences to retail investors who held popular target-date retirement funds in taxable accounts.

Seeking Alpha on MSN · 16h

Vanguard to pay $106M to settle SEC charges over TRF disclosure violations

The Vanguard Group Inc., one of the world's largest asset managers, will pay a $106.41M penalty to resolve charges for allegedly misleading statements related to capital gains distributions and tax consequences for retail investors who held Vanguard Investor Target Retirement Funds in taxable accounts,

2hon MSN

Crypto Firm DCG Settles With SEC For $38.5M Over Misleading Investors

Digital Currency Group (DCG), a prominent player in the cryptocurrency industry, on Friday agreed to settle with the U.S.

21h

Wells Fargo firms, Merrill Lynch to pay $60 mln to settle SEC charges

The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...

19hon MSN

Crypto bros won’t throw off yoke of SEC regulations despite backing Trump

One big ask, On The Money has learned, includes no longer having to deal with the heavy hand of regulation by the SEC, also ...

3don MSN

SEC accuses Elon Musk of securities violation in new suit

The Securities Exchange Commission has filed suit against Elon Musk, alleging that he violated securities law.

16h

Vanguard to pay $106 million in SEC accord after saddling investors with big tax bills

Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to ...

thecurrencyanalytics11h

Pro-XRP Lawyer Critiques SEC’s Appeal, Predicts Ripple Victory

Pro-XRP attorney Jeremy Hogan critiques the SEC’s appeal in the Ripple case, forecasting a favorable outcome for Ripple and ...

3don MSN

SEC sues Musk, alleging Twitter-related securities violation

The Securities and Exchange Commission (SEC) has sued tech billionaire Elon Musk, alleging he committed securities fraud by ...

15h

Wells Fargo and Bank of America Agree to Pay Combined $60 Million to Settle SEC Probe

In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting ...

1hon MSN

SEC charges La Jolla’s LPL Financial with anti-money laundering violations

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

State AG, SEC reach $106M settlement from investment adviser Vanguard Group

More than 15,000 New York investors, including 2,700 Long Islanders, were forced to pay higher capital gains taxes ...

15h

DCG Pays $38 Million Fine to Settle SEC Investigation

Crypto company Digital Currency Group agreed to pay a $38 million fine to settle with the Securities and Exchange Commission ...

Soap Central on MSN2d

US Securities and Exchange Commission’s lawsuit against Elon Musk explored as X CEO is accused of non-disclosure of the app’s stock purchase

The Security and Exchange Commission (SEC) filed a lawsuit against Elon Musk, owner of social media giant X (formerly known ...

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