Client Communications

(a) Every registered management investment company shall file a report on Form N-CSR not later than 10 days after the transmission to stockholders of any report ...

(a) Sending confirmations and notices of allocations. After the effective date of a registration statement, the following are exempt from the provisions of section 5(b)(1) ...

The obligations of a dealer (including an underwriter no longer acting as an underwriter in respect of the security involved in such transactions) to deliver ...

Except as provided in paragraphs (e) and (g) of this section, the terms “prospectus” as defined in section 2(a)(10) of the Act or “free writing ...

Payment for order flow shall mean any monetary payment, service, property, or other benefit that results in remuneration, compensation, or consideration to a broker or ...

(a) No solicitation subject to this regulation shall be made unless each person solicited is concurrently furnished or has previously been furnished with: (1) A ...

(a)(1) A registrant shall furnish a proxy statement pursuant to §240.14a-3(a), or an annual report to security holders pursuant to §240.14a-3(b), to a security holder ...

(a) If the information statement relates to an annual (or special meeting in lieu of the annual) meeting, or written consent in lieu of such ...

(a) It shall constitute a deceptive act or practice, as those terms are used in section 15(c)(2) of the Act, for a broker or dealer ...

The euphoria the industry may have felt following the U.S. Supreme Court’s decision three years ago in Janus (IA Watch, June 20, 2011) deflated a ...