Mutual Funds

Violations of the Investment Company Act cost Water Island Capital ($3.4B in AUM) in New York $50,000 last week after it settled custody and compliance ...

The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just listed ...

During any fiscal quarter in which elimination of securities from the portfolio of an investment company occur, the securities remaining in the portfolio shall, for ...

(a) As used in this section: (1) The term Donee means a person who acquires a security of a Covered Company (or a security or ...

(a) The current net asset value of any redeemable security issued by a registered investment company used in computing periodically the current price for the ...

A purchase or sale transaction between registered investment companies or separate series of registered investment companies, which are affiliated persons, or affiliated persons of affiliated ...

(a) Exemptions for acquisition of money market fund shares. If the conditions of paragraph (b) of this section are satisfied, notwithstanding sections 12(d)(1)(A), 12(d)(1)(B), 17(a), ...

Merger of a registered investment company (or a series thereof) and one or more other registered investment companies (or series thereof) or Eligible Unregistered Funds ...

This is the SEC's swing pricing rule for certain registered funds

Chief compliance officer. Designate one individual responsible for administering the fund's policies and procedures adopted under paragraph (a)(1) of this section