11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA

InvestTalk

English - November 30, 2022 01:00 - 45 minutes - 41.4 MB - ★★★★ - 719 ratings
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Previous Episode: 11-28-2022 – Why You Should Be Cautious as China Concerns Affect the Market Rally

Next Episode: 11-30-2022 – 4 Practical Steps to Control Your Overspending Habit

An SEC complaint highlights what can happen if an advisor breaches their duty to seek 'best execution' for transactions of its advisory clients.

Today's Stocks & Topics: Private Equity Industry, Tech Sell-Off, Yield Curve Inversion, BKE - Buckle Inc., The Stock Market and 401k, CTRA - Coterra Energy Inc., SU - Suncor Energy Inc., SLB - Schlumberger Ltd.

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