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: Securities Law Prof Blog

SEC Censures TD Ameritrade for Sales of Reserve Yield Plus Fund Shares

By Securites Lawprof

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The SEC charged TD Ameritrade Inc. for failing to reasonably supervise its registered representatives, some of whom misled customers when selling shares of the Reserve Yield Plus Fund, a mutual fund that "broke the buck" in September 2008. According to...

Full post as published by Securities Law Prof Blog on February 03, 2011 (boomark / email).

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