Mutual Funds

The question before the U.S. Supreme Court, which heard oral arguments last week in a case involving investment advisory fees (Harris v. Jones), boils down ...

Even as the SEC reads industry comments on its July proposed rule affecting money market funds, it has plans for a second rule proposal next ...

The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...

When people point to the first sign of the trouble that led to the market meltdown they may cite the collapse of two Bear Stearns' ...

A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...

The evolution of accounting clarity that was FASB 157 could take another leap with release of a proposal that would require greater disclosure related to ...

The meeting was so important it warranted being broadcast to all of the SEC's regional offices, yet the doors were closed to the public.IA Week ...

This is a final rule released by the SEC in 2009, entitled Interactive Data for Mutual Fund Risk/Return Summary. This affects open-end management mutual funds ...

Satisfying the SEC when it comes to valuation begins with having policies and procedures that are consistent and take into account contingencies, but the job ...

Phone records are behind the SEC's first case involving allegations of insider trading of credit default swaps by a hedge fund. The agency has charged ...