SEC.gov | Vanguard to Pay More Than $100 Million to Resolve …
Jan 17, 2025 · 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 to pay over $100 million to SEC in violations target date ...
6 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 ...
6 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 Settles SEC Charges in $106M Fine Over TDF Violations
Jan 17, 2025 · Vanguard Group, Inc., will pay $106.41 million to settle charges for misleading statements related to capital gains distributions and tax consequences for retail investors who held Vanguard Investor Target Retirement Funds (Institutional TRFs) in taxable accounts, the SEC announced today.
SEC Fines Vanguard $106M Over Retirement Fund Tax Issues
6 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 to pay $106 million in SEC accord after saddling …
6 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 Over Retirement Fund Tax Issues | etf.com
6 days ago · The Securities and Exchange Commission ordered Vanguard to pay $106.41 million over misleading statements about tax consequences affecting retail investors in its target-date retirement fund,...
Vanguard settles with SEC, NASAA | Investment Executive
6 days ago · Fund giant Vanguard Group, Inc. is paying upwards of US$100 million to settle allegations that it failed to disclose the risk that hefty redemptions from certain investment funds could result in large capital gains distributions and tax bills for certain investors.
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
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