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: Securities Law Prof Blog

Charles Schwab Entities Settle SEC Charges Relating to YieldPlus Fund for $118 Million

By Securites Lawprof

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The SEC charged Charles Schwab Investment Management (CSIM) and Charles Schwab & Co., Inc. (CS&Co.) with making misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material,...

Full post as published by Securities Law Prof Blog on January 11, 2011 (boomark / email).

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