Mutual Funds

This is the SEC's liquidity risk management rule

Current report for open-end management investment companies

Each registered management investment company or exchange-traded fund organized as a unit investment trust, or series thereof, other than a registered open-end management investment company ...

(a) Until April 1, 2019, each registered management investment company subject to § 270.30b1–9 of this chapter must satisfy its reporting obligation under that section ...

The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative ...

It’s not often the SEC takes a requirement off the board. This week’s announcement that the agency’s virtually eliminating the Investment Company Act exemption related ...

In the staff’s view, a mutual fund is not required to obtain a “mixed and shared funding” order prior to offering its shares as an ...

The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...

IA Watch has obtained a copy of the SEC’s alternative mutual fund sweep letter. As we’ve reported (IA Watch, Aug. 25, 2014), it focuses on ...

This is a copy of the sweep letter OCIE has used as part of its effort to examine advisers that manage so-called alternative mutual funds. ...