Mutual Funds

Letter details five rulemaking priorities that would benefit "the 120 million Americans who use investment funds"

Time is needed to complete a Commission review of the amendments in accordance with a Presidential Memorandum

Given President Trump's directive, the SEC is extending the compliance dates of Form N-PORT changes to provide time for the Commission to complete its review

"Advance Capital Management failed to consider whether pending class action claims could be monetized for the benefit of ACI’s shareholders prior to redemption"

It’s hard to argue with giving compliance more time to meet new SEC requirements, and now mutual fund advisers can revel in knowing they have ...

The SEC extends the compliance dates for the so-called Names rule, which aims to prevents mutual funds from using names that can mislead investors, from ...

"These disclosure requirements, while enabling fund shareholders to monitor fund voting, also make asset managers sitting ducks for pressure campaigns from social and political activists and ...

The FAQs address the adoption of the 80% investment policy, tax-exempt funds, and specific terms commonly used in fund names

Three broker-dealers avoided the imposition of fines in mutual fund fee waiver cases due to their cooperation

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'