Mutual Funds

The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require reports on ...

Federal court in Boston will be the sparring ground over questions of whether Fidelity has violated ERISA by charging a secret fee to allow mutual ...

A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the initial ...

You state that the purpose of your letter is to request from the staff a no-action position for certain situations where in-person voting requirements may ...

Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links ...

The following forms on the Commission’s website have been updated to reflect amendments recently adopted by the Commission: Form N-1A; Form N-2 ; Form N-3; ...

Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business ...

Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...

Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...

Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is ...