Mutual Funds

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

RCW has obtained a copy of a FINRA exam letter asking for the firm’s 'written supervisory procedures' related to 'clone funds'

"It is a signal that the Commission is willing to reexamine outdated constraints, embrace innovation, and consider relief that could benefit investors, fund sponsors, and ...

Another lesson this case presents is don’t promise the SEC you will do something—and then not do it