Mutual Funds

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 ...

Three VALIC employees worked to steer union members to the advisory firm while being “deceptively identified” as union employees

The former SEC staffer called the proposal “fundamentally flawed” and “not legally viable”

Rule targets business development companies and other closed-end investment companies

An investment adviser’s fiduciary duty includes, among other things, an obligation to seek best execution for client transactions

Issue tied to breaches of limitations on an IC's ownership interests in another

he new procedures will be effective nine months from their publication

"The health and safety of all participants in the securities markets is of paramount importance"

The relief has now been extended to "at least" Dec. 31

The firm's compliance department knew it had monitoring issues