Mutual Funds

Form N-6 is to be used by separate accounts that are unit investment trusts that offer variable life insurance contracts to register under the Investment ...

This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, ...

Form N-14 may be used by all management investment companies registered under the Investment Company Act of 1940 (“1940 Act” or“Investment Company Act”)andbusiness development companies ...

Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to ...

These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawrence Nicholas Passaretti. From ...

APA failed to disclose that it and its investment adviser representatives (“IARs”) had a conflict of interest as a result of the additional compensation received ...

These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker and Hartley in connection with ...

There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC ...

In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not to ...

This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Company Reporting Modernization, which ...