Mutual Funds

Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...

Mutual fund boards must monitor these arrangements in consultation with their investment adviser and legal counsel

"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...

The SEC adopts new rules directing mutual fund advisers to transmit concise and visually engaging annual and semi-annual reports to shareholders that highlight key information ...

This reflects changes the SEC has made to this rule effective in 2023

SEC rules around shareholder reports

This is the Investment Company Act's books and records rule, as amended in 2023

This is a Securities Act rule that governs marketing

This rule layouts guidance for fund advertising