Money Market Funds

OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan share classes that ...

If a money market fund includes the word “government” in its name, the fund should have a policy that it will invest “at least 80% ...

This final rule is related to the removal of credit rating references in rule 2a–7, the principal rule that governs money market funds, and Form ...

These amendments implement the congressional mandate in Section 939A of the Dodd-Frank Act (“Dodd-Frank”) to eliminate such references from all of our rules. Since ...

If you’re an adviser to a mutual fund, a big takeaway from the SEC’s June 17 settlement with Commonwealth Capital Management ($18M in AUM) of ...

Investment company advisers would have to indicate if their CCOs are compensated or employed by anyone other than their fund, according to the SEC’s new ...

This matter involves Nationwide’s processing of purchase and redemption orders for variable insurance contracts and underlying mutual funds (collectively “orders”) in violation of Rule 22c-1 under ...

Advisers affected by last year’s SEC money market fund reforms have until next year to master the major elements of the rule. Last week, the ...

The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the ...

This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Investment company Act addresses the ...