Mutual Funds

Alison, who repeatedly failed to produce to the Commission’s examination staff required books and records, in violation of the federal securities laws, thus, inhibiting the ...

The road appears to be ending for an ERISA lawsuit that claimed Fidelity violated its fiduciary status by using float income created through plan transactions ...

While I understand that your discussion today will focus on some important discrete aspects of this proposal, I want to emphasize as well the breadth ...

At yesterday’s open meeting of the Commission, I referenced a 2008 survey conducted by Commission staff on retail investors with respect to corporate annual reports.[1] ...

OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan share classes that ...

If your firm receives revenue from the sale of mutual funds, be sure you have compliance P&Ps designed to avoid placing clients in a more ...

The latest congressional report by the SEC’s Office of the Investor Advocate states that in FY 2017, which begins in October, the office will look ...

One important area we are focused on is whether the disclosure regime for registered funds has evolved sufficiently in response to the changing types of ...

Another broker-dealer has been sanctioned for failing to waive mutual fund sales charges for eligible charitable organizations and retirement accounts. But it avoided additional financial ...

Nearly 100 letters came into the SEC by the time it closed the comment period March 28th for its derivatives proposal that was released late ...