Mutual Funds

The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and ...

The Securities and Exchange Commission is adopting amendments to rule 22c-1 under the Investment Company Act to permit a registered open-end management investment company (“open-end ...

Sweeping reforms aimed at enhancing transparency and modernizing reporting requirements for mutual funds, exchange-traded funds and other registered companies have been adopted by the SEC. The ...

Over the years, the asset management industry has become increasingly complex and has offered a growing range of investment strategies, including those that use derivatives, ...

Today’s rule makes a number of changes from the proposal to strengthen investor protections. For example, the cost adjustment will be limited to a maximum ...

The new forms we are adopting today will modernize how funds report portfolio and census information to both the Commission and the public. Second, today’s ...

I have several investor protection concerns with the swing pricing recommendation. As I mentioned when swing pricing was proposed, and as is pointed out in ...

You state that utilization of Rule 486(b) would help ensure that the Fund has the ability to raise capital as the opportunity arises, and could ...

The Commodity Futures Trading Commission (“CFTC” or “Commission”) is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives ...

As a result of the fact that under revised Rule 2a-7(c)(2)(i), a Prime Fund might suspend redemptions for up to 10 days, the Division believes ...