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Mutual Funds (307)
Your search for Mutual Funds returned 307 results.
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9/05/2019 | Content area: Investment Adviser
A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...
8/08/2019 | Content area: Investment Adviser
OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re colle...
8/08/2019 | Content area: Investment Adviser
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds g...
8/08/2019 | Content area: Investment Adviser
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-...
8/06/2019 | Content area: Investment Adviser
XAI Octagon Floating Rate & Alternative Income Term Trust Aug. 6, 2019   Response of the Office of Chief Counsel Division of Investment Managemen...
8/06/2019 | Content area: Investment Adviser
Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund Aug. 6, 2019   RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF IN...
8/01/2019 | Content area: Investment Adviser
It’s a tight labor market for compliance officers but an open mind—and a few, key focused questions—might just help you build your A-Team.   “One of t...
7/24/2019 | Content area: Investment Adviser
This late 2018 document request letter asks the adviser about selection of mutual fund shares classes for clients.
7/09/2019 | Content area: Investment Adviser
The BNY Mellon Family of Funds, et al. July 9, 2019 Investment Company Act of 1940 – Section 15(a) Certain Disclosure Requirements July 9, 2019 ...
6/27/2019 | Content area: Investment Adviser
In the end the price tag for State Street in a new SEC enforcement case hit tens of millions of dollars even though the bank self-reported the violati...
6/27/2019 | Content area: Investment Adviser
The overcharges included expenses related to Society of Worldwide Interbank Financial Telecommunication (or “SWIFT”) messages, a secured messaging net...
5/23/2019 | Content area: Investment Adviser
The bell for round 2 of the SEC’s liquidity risk management rule rings June 1 for mutual funds with more than $1 billion in assets. The first round en...
4/26/2019 | Content area: Investment Adviser
You also represent that in relying on the requested relief to sell common shares of beneficial interest, each Fund will sell newly issued shares at a...
4/12/2019 | Content area: Broker-Dealer
Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessar...
4/11/2019 | Content area: Investment Adviser
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Ano...
4/08/2019 | Content area: Investment Adviser
we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund if i...
3/22/2019 | Content area: Investment Adviser
A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered invest...
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
Three separate 401(k) investors have joined to file a new federal lawsuit claiming Fidelity violates its fiduciary duty and ERISA by charging mutual f...
3/21/2019 | Content area: Investment Adviser
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...


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