Mutual Funds

In the early days, the term “ETF” meant something fairly specific. Today, however, the term is used to describe investment companies with a wide range ...

The SEC often wears blinders when it comes to cost assessment. We tend to underestimate the costs of individual rule changes. The costs incurred by ...

The Securities and Exchange Commission is proposing amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end investment ...

A reflection of how Washington works these days can be seen in the SEC Commission meeting March 14. It marked the first time a full ...

The Voya Advisers knew and understood that there was a connection between recalling securities for the dividend record date and net earnings from securities lending ...

The Commission’s complaint alleges that while Kohli solicited investors to invest in the four mutual funds run by The DMS Funds, he instead used the ...

The six-month delay affecting parts of the SEC’s liquidity risk management program may not be enough (IA Watch, Feb. 22, 2018).   “The reprieve is ...

Ameriprise did so without disclosing that it would receive greater compensation from the Eligible Customers’ purchases of the more expensive share classes. Eligible Customers did ...

SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was ...

Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, ...