Mutual Funds

This Guidance Update is focused on disclosure issues and certain procedural requirements with offering variations in Fund sales loads and new Fund share classes.3 We ...

A source shares with us a copy of the so-called "Unicorn" sweep letter. This 2016 SEC sweep examined mutual fund advisers that held securities in ...

Formal comments on rulemakings are frequently pivotal for the staff in formulating recommendations for the Commission on pending rules. As I just mentioned, informal inquiries ...

In the most extreme case, the SEC’s giving the industry nearly three years to comply with parts of its three new mutual fund rules (IA ...

Securities lending, repurchase agreements, counterparties, derivatives, assets/liabilities, outflows, holdings – even if a fund’s CCO has changed since the last report – are among the ...

The third and final new SEC rule targeting mutual funds gives fund advisers an option when redemptions spark trouble.   The Investment Company Swing Pricing ...

Form the SEC has created for open-end mutual funds to report their liquidity status to the agency.

Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof ...

Form N-CEN is to be used by all registered investment companies, other than face-amount certificate companies, to file annual reports with the Commission. Such reports ...

The Securities and Exchange Commission is adopting new rules, a new form and amendments to a rule and forms designed to promote effective liquidity risk ...