All Stories

  1. FINRA fines broker-dealer for failing to apply Class A sales charge waivers for certain eligible customers on its mutual fund platform

    Article • Journal of Investment Compliance, October 2014, Emerald

    Mr Richard Kerr

  2. Director of SEC’s Division of Investment Management discusses alternative mutual funds

    Article • Journal of Investment Compliance, October 2014, Emerald

    Mr Richard Kerr