SEC.gov | Vanguard to Pay More Than $100 Million to Resolve …
3 days ago · The SEC’s order finds that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. Without admitting or denying the SEC’s findings, Vanguard agreed to be censured, cease and desist from future violations, and pay $18.2 million in disgorgement and prejudgment interest that will be deemed ...
Vanguard fined more than $100 million by SEC over violations …
2 days ago · The payment stems from a 2020 change by Vanguard that led to redemptions in one class of target date funds.
Vanguard to Pay $106 Million in Restitution to Retirement Fund ...
2 days ago · Vanguard, the large mutual fund company, has agreed to pay $106 million in restitution to settle a securities regulatory investigation into whether the firm misled retail investors about the tax ...
Vanguard to pay $106 million in SEC accord after saddling …
2 days ago · 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 target-date funds ...
SEC Fines Vanguard $106M Over Retirement Fund Tax Issues
2 days ago · SEC Fines Vanguard $106M Over Target Fund Issues. The Securities and Exchange Commission ordered Vanguard to pay $106.41 million over misleading statements about tax consequences affecting retail ...
Vanguard fined more than $100 million by SEC over violations
Vanguard agreed to the fine without admitting or denying the SEC’s findings. Vanguard is one of the world’s largest asset managers, reporting more than $10 trillion of global assets as of last ...
Vanguard Settles SEC Charges in $106M Fine Over TDF Violations
3 days ago · The SEC’s order today finds that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. Without admitting or denying the SEC’s findings, Vanguard agreed to be censured, cease and desist from future violations, and pay $18.2 million in disgorgement and prejudgment interest that will be ...
Vanguard settles with SEC, NASAA | Investment Executive
2 days ago · Under the settlement with regulators, without admitting or denying the SEC’s findings, Vanguard agreed to pay US$106.4 million, which will be distributed to harmed investors. That amount is in addition to the US$40 million that Vanguard agreed to pay to settle an investor class action over the same incident, the SEC noted.
EDGAR Filing Documents for 0001104659-21-021334 - SEC.gov
SEC Accession No. 0001104659-21-021334 Filing Date. 2021-02-12. Accepted. 2021-02-12 09:16:11. Documents. 2. Period of Report. 2020-12-31. Effectiveness Date. ... VANGUARD GROUP INC (Filer) CIK: 0000102909 (see all company filings) IRS No.: 231945930 | State of Incorp.: PA | Fiscal Year End: 1231
EDGAR Filing Documents for 0001104659-21-091034 - SEC.gov
SEC Accession No. 0001104659-21-091034 Filing Date. 2021-07-12. Accepted. 2021-07-12 10:21:52. Documents. 1. Document Format Files. Seq Description Document Type Size; 1: ... VANGUARD GROUP INC (Filed by) CIK: 0000102909 (see all company filings) IRS No.: 231945930 | State of Incorp.: PA | Fiscal Year End: 1231