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News April 3, 2017 Issue

Another Wrap Fee Adviser Settles with SEC Over Tradeaway Disclosures

The SEC isnít letting up in its scrutiny of dually registered advisers/broker-dealers, particularly those offering wrap fee programs that result in clients paying unexpected fees for transactions that are "traded away" to other brokers. It settled two such cases a few months back Ė and on March 13 settled a new one.

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