Mutual Funds

Rules for writing a free writing prospectus

An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations

Credit Suisse Securities (USA) and two affiliates to pay over $10M to settle SEC charges that they provided prohibited underwriting and advising services to mutual ...

The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...

In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors

Based on the facts and representations made in your letter, we would not recommend enforcement action to the Commission under Section 17(d) of the 1940 ...

This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023

The final rule estimates initial costs to satisfy the revised rule 'will range from $50,000 to $500,000 per fund.' For those funds that will have ...

Revised rule 35d-1 would mandate a fund have a P&P mandating it invest at least 80% of its assets in accordance with its name, plus ...

"Today’s adoption will modernize the Names Rule in a number of ways for today’s markets"