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Mutual Funds (297)
Your search for Mutual Funds returned 297 results.
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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...
3/19/2019 | Content area: Investment Adviser
The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.
3/19/2019 | Content area: Investment Adviser
This letter goes beyond 12b-1 fees to look at broader "revenue sharing."
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
Respondent and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or other...
3/11/2019 | Content area: Investment Adviser
Respondent was obligated to disclose all material facts to its clients, including any conflicts of interest between itself and/or its associated perso...
3/11/2019 | Content area: Investment Adviser
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...
3/11/2019 | Content area: Investment Adviser
Mutual funds typically offer investors different types of shares or “share classes.” Each share class represents an interest in the same portfolio of ...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Raymond Lawrence Lent (dba The P...


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