Mutual Funds

You have until Aug. 22 to share your comments on FinCEN's form for certain firms to report their beneficial owners

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...

CCA benefited from this arrangement by deferring payment on its legal costs for multiple years

"The new Registered Fund Statistics report includes more than 70 data tables reflecting aggregated and anonymized public and non-public information filed on Form N-PORT. It is the ...

Rules for writing a free writing prospectus

An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations

Credit Suisse Securities (USA) and two affiliates to pay over $10M to settle SEC charges that they provided prohibited underwriting and advising services to mutual ...

The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...

In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors

Based on the facts and representations made in your letter, we would not recommend enforcement action to the Commission under Section 17(d) of the 1940 ...