Mutual Funds

This year marks the 75th anniversary of the Investment Company Act of 1940 (the “Investment Company Act”), which established the regulatory framework for registered investment ...

IA Watch has learned that some industry groups are asking the SEC to come out with additional guidance about fund advisers and gifts and entertainment. ...

Investment company advisers would have to indicate if their CCOs are compensated or employed by anyone other than their fund, according to the SEC’s new ...

In a move to “modernize” the industry data the SEC receives from investment advisers and investment companies, the Commission May 20th unanimously approved two new ...

This May 2015 proposal would allow disclosures on the web as well as other modernizations to the Investment Company Act.

The recommendations before us today will vastly improve the type and format of the information that funds provide to the Commission and to investors. Investors ...

The proposed amendments should improve the quality and depth of the data that investment advisers disclose and, thereby, enhance the Commission’s risk monitoring and oversight ...

The rule proposals we are considering today represent a very important step forward for the Commission. It is critical for the SEC to change and ...

I am particularly glad that these proposals also take advantage of today’s technology. The information provided on Forms N-PORT and N-CEN would be in ...

She states that Today’s "proposal makes numerous sensible revisions. These revisions should help to modernize the information being reported to clients and the Commission. ...