Mutual Funds

One particular context in which an investment adviser may be temporarily providing advisory services to a fund at cost or for no compensation involves an ...

The staff has received an inquiry regarding whether an ETF may merge with another affiliated ETF, notwithstanding certain material representations made in the exemptive application underlying ...

It's not uncommon for CCOs to oversee multiple entities these days, e.g., a mutual fund adviser and one that handles separately managed accounts. If you're ...

This Guidance Update summarizes views of the Division regarding certain disclosure and compliance matters relevant to funds that invest in commodity interests. The guidance is ...

The staff notes that while many different kinds of mutual funds may hold tri-party repos (and thus this staff guidance note may be useful to ...

The CFTC last week avoided a fate that twice has befallen the SEC - having its rulemaking rejected for conducting deficient costs and benefits analyses. ...

The aftermath of the SEC's settlement with eight former board members of five mutual funds related to Morgan Keegan & Company ($10B in AUM) in ...

In yet another rendition of “do what you say you’re going to do,” the SEC has fined a mutual fund, an administrator and the five ...

This is news worthy of a tweet. The SEC says "certain interactive content" posted to social media sites by mutual fund advisers need not be ...

This is guidance released March 15, 2013 by the SEC regarding social media records held by mutual fund advisers.