Disclosure

SCF failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in connection ...

The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend

An example of the SEC's proposed 'tailored' shareholder report for mutual funds

A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...

The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...

WBI and Millington, in their roles as investment advisers, disclosed to clients that Millington, in its role as a broker-dealer, received payments for order flow ...

I am concerned about the proposal’s treatment of acquired fund fees and expenses (“AFFE”). Specifically, the proposal would allow funds to exclude AFFE from their ...

The verbal explosion that has occurred in our releases over the last twenty years means that only securities attorneys and compliance professionals, who are paid ...

Fund shareholders may be paying these fees regardless of the funds in which they invest. Perhaps these shareholders would not mind paying this extra cost ...

Today’s proposal would establish a new disclosure framework for mutual funds and ETFs that modernizes the shareholder reports provided to existing investors and the prospectuses ...