Mutual Funds

Here are seven best practices to avoid enforcement trouble

Boards would have to ensure that investment advisers report no less than quarterly on a range of issues

The change is being made to mitigate potential filing delays due to the ongoing impacts of COVID-19

The proposed rule would provide requirements for determining fair value in good faith with respect to a fund

The Commission considered that Cozad self-reported to the Commission staff in the fall of 2018 after learning that the Unaffiliated BD/IA had participated in the ...

The Commission considered that Respondent self-reported its conduct to the Commission pursuant to the SCSD Initiative

Merrill was required to give its clients sufficient information so that they could understand the conflicts of interest

Because of the unique nature of the SCSD Initiative, this Order and the circumstances under which it was issued shall not be relied upon by ...

Firms encouraged to consider disclosure revisions based on COVID-19 events

On April 8, 2020, the Commission adopted rules that will modify the registration, communications, and offering processes for business development companies and other closed-end investment ...