Mutual Funds

The Commission proposes to streamline or remove certain items from Form N-PORT to reduce the reporting burdens in ways that would not significantly affect the ...

Study reveqals that just over a third (34%) of the U.S. population has investments in stocks, bonds, mutual funds or other securities outside retirement accounts

This proposal would greatly expand the AUM threshold for an investment adviser to qualify as a small entity for purposes of SEC rulemaking

The year may only be days old but already the SEC has defied predictions by proposing a new rule. The proposal would drastically revise AUM ...

Be sure your P&Ps provide reasonable guidance for how to assess whether mutual fund transactions are suitable for customers or in their best interest

The Commission corrects errors on and amends Form N–CEN

You'll want to know about 'nuances of the Investment Company Act' that you must become familiar with, including ETF limits on illiquid assets

Survey shows a vast majority of Americans support an e-delivery default

MH Investment was aware of the Accountant’s wife’s investment at the time it proposed that MH Elite engage the Accountant to serve as its auditor ...

SEC signaled its intention to begin relief for funds with both ETF and mutual fund share classes