Mutual Funds

Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Watch, ...

You’ll have 30 days to comment once the SEC publishes its latest proposed rule in the Federal Register. The new proposal would create two new ...

If your firm endured an OCIE exam that raised questions about whether clients received the lowest cost mutual fund share class, you can still qualify ...

Remarks at the PLI Investment Management Institute 2018 Dalia Blass, Director of the Division of Investment Management   New York, NY April 30, 2018 Introduction ...

SEI funds had the option of loaning out securities to borrowers in exchange for cash collateral covering 102%-105% of the value of the loaned securities. ...

Remember that carrot FINRA dangled for self-reporting mutual fund sales over-charges? Some of your peers apparently didn’t. They got the stick.   FINRA made it ...

The window period to take advantage of the SEC’s Share Class Selections Disclosure Initiative is fast drawing to a close with its attendant June 12 ...

These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by registered investment adviser SAA in connection ...

These proceedings arise out of improper mutual fund share class selection and billing practices by PNCI, a registered investment adviser and broker-dealer. First, from at ...

These proceedings arise from a series of failures by Geneos, a registered investment adviser and broker-dealer, in connection with its mutual fund share class selection ...