Mutual Funds

Click here to open a Word file that is a risk matrix specifically designed for an adviser to a mutual fund or otherwise operates under ...

The staff recently was asked for its views on the following situation: a fund had separate administration and advisory agreements and its board wanted to ...

Target date funds are proving so popular the SEC's been pushing the idea of helping investors understand them better through tables, graphs, "glide paths" and ...

It's no secret states are on the prowl for more money like a starving leopard searching for food (IA Watch, June 28, 2010). This should ...

An open-end or closed-end investment company ("fund") registered under the Investment Company Act of 1940 ("Investment Company Act") may seek to arrange a secured financing ...

This is a proposed rule from the CFTC released in February 2012 to attempt to harmonize its rules with the SEC so as to make ...

      Investment Company Act of 1940 — Section 7(d) Xplornet Communications Inc. January 11, 2012 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

Firms that issue asset-backed securities and use derivatives will want to be on the lookout for two invitations from the SEC to share their thoughts ...

Only two months after the U.S. Supreme Court handed the industry a 5-4 victory in the Janus Capital Group v. First Derivative Traders' case (IA ...

Another in the string of Dodd-Frank spurred reports popped out of the GAO last month. This one looked at rules around Mutual Fund Advertising.Of course, ...