Mutual Funds

We agree that the position you are requesting from us is consistent with the Commission’s approach in adopting Rule 38a-1 and would allow boards to ...

The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...

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

Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (“fund”), under the Investment Company Act of 1940 (15 ...

This is the SEC's Form N-Port, including filing instructions.

CA failed to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in ...

If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and ...

Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party broker-dealer (“Custodian A”) ...

You state that each Fund’s board of trustees (the “Board”),[2] including a majority of independent trustees, has concluded that a continuously effective equity shelf registration ...

This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.