Mutual Funds

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, ...

This Tuesday, SEC commissioners are scheduled to consider finalizing their proposal to require institutional managers that manage more than $100 million in assets to annually ...

This is a 2011 SEC document request letter sent to an adviser to an Investment Company Act fund.

Business development companies can use the same Investment Company Act exception to avoid running their selection of a public accountant past shareholders as other funds, ...

The SEC has granted an adviser's request to shed the limits on a mutual fund's ownership of another investment company if the acquired entity is ...

One vote can make all the difference, as the U.S. Supreme Court proved last week when, by a 5-4 margin, it ruled for the RIA ...

This is the U.S. Supreme Court's decision from 2011 in the Janus Capital Group v. First Derivative Traders. The 5–4 decision made it tougher for ...

A recent SECno-action letter grants flexibility to an investment adviser that oversees mutual fund portfolios when it comes to alerting shareholders of the hiring of ...

No-Action Letter: Nationwide Mutual Funds, et al. (April 5, 2011) Investment Company Act of 1940 — Section 15(a) Nationwide Mutual Funds, et al. April 5, ...

For the second time in two years justices of the U.S. Supreme Court heard a case involving an RIA (IA Watch, April 19, 2010). Oral ...