Mutual Funds

The FAQs address the adoption of the 80% investment policy, tax-exempt funds, and specific terms commonly used in fund names

Three broker-dealers avoided the imposition of fines in mutual fund fee waiver cases due to their cooperation

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

This Risk Alert provides some insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are ...

G.A. Repple did not adequately disclose all material facts regarding its share class selection practices and the conflicts of interest that arose when it recommended ...

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public

Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers

This is the SEC's final rule change to N-PORT reporting rules

This is the Investment Company Act's books and records rule, as amended in 2023

This is the SEC's books and records rule for investment companies