Mutual Funds

In all honesty, if you’re an adviser with a mutual fund with more than $1 billion in assets, you should already have plans in place ...

This is the list of FAQs released by the SEC's Division of Investment Management in November 2018.

Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Management has ...

If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, ...

If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you ...

Examiners intend to focus on certain mutual funds and exchange-traded funds, the activities of their advisers, and boards of directors’ oversight. Examinations will target circumstances ...

We would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against any Fund if ...

Division staff remain available to advise and assist, just as we always have. We will continue to issue FAQs, no-action letters and other guidance, as ...

A new “no-action” letter from the SEC’s Division of Investment Management permits mutual fund boards to hand off to their CCOs the job of confirming ...

The Division is working on several initiatives to help our markets grow and develop for the benefit of all market participants, including Main Street investors. ...