State News

North Dakota Securities Department joins SEC in $106 million settlement with Vanguard for failing to supervise certain registered persons and failing to disclose potential tax consequences to investors

North Dakota – The North Dakota Securities Department announced its participation in a $106 million settlement with Vanguard Marketing Corporation and The Vanguard Group Inc. (Vanguard). The settlement addresses the company’s failure to supervise certain registered persons and disclose potential tax consequences to investors following…