In the Matter of The Vanguard Group, Inc. - SEC.gov
1 day ago · The Commission found that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. The Commission also created a Fair …
Vanguard to Pay More Than $100 Million to Resolve Violations …
Jan 17, 2025 · The Securities and Exchange Commission today announced that The Vanguard Group, Inc. will pay $106.41 million to settle charges for misleading statements related to …
Vanguard to pay $106 million in SEC accord after saddling …
Jan 17, 2025 · Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to disclose important tax information about its popular …
NASAA Announces $106 Million Multi-State Settlement with Vanguard
WASHINGTON, D.C. – (January 17, 2025) – The North American Securities Administrators Association (NASAA) today announced that a taskforce of state securities regulators and the …
Vanguard to Pay $106 Million Over Retirement Fund Violations
Jan 17, 2025 · (Bloomberg) -- Vanguard Group will pay more than $106 million to settle US Securities and Exchange Commission allegations that it made misleading statements about …
Office of the Attorney General Announces $106 Million …
Jan 17, 2025 · TRENTON – The Office of the Attorney General, the Division of Consumer Affairs, and the Bureau of Securities announced today that the State has joined a task force of state …
Vanguard to pay over $100 million to SEC in violations target date ...
Jan 17, 2025 · The payment stems from a 2020 change by Vanguard that led to redemptions in one class of target date funds.
Division of Financial Regulation : Oregon Division of Financial ...
Jan 21, 2025 · Salem – The Oregon Division of Financial Regulation (DFR) announced today that it joined a taskforce of state securities regulators and the U.S. Securities and Exchange …
Multistate Settlement Reached With Vanguard - CT.gov
Jan 17, 2025 · HARTFORD - The Connecticut Department of Banking today announces a taskforce of state securities regulators and the U.S. Securities and Exchange Commission …
New Jersey Division of Consumer Affairs Press Release
Jan 21, 2025 · TRENTON – The Office of the Attorney General, the Division of Consumer Affairs, and the Bureau of Securities announced today that the State has joined a task force of state …