Mutual Funds

The investment adviser of a registered investment company shall be deemed to have a fiduciary duty with respect to the receipt of compensation for services

This Investment Company Act section gives mutual funds the right to create different classes

This rule has to do with the purchase of securities on margin; joint trading accounts; short sales of securities

It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory ...

This month, the Investment Company Institute released its annual look at 401(k) fees, finding that the downward trend begun this century continues. There has been ...

Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management Norm Champ ...

Confusion over custody for advisers using special purpose vehicles (SPVs) gained greater clarity in a new release from the SEC's Division of Investment Management. IM ...

Anyone who owns five percent or more of the outstanding voting securities for any mutual fund series company automatically qualifies as an affiliated person. In ...

The staff is providing this guidance related to the Commission’s enhanced mutual fund disclosure amendments adopted in 2009.1 This guidance is based on comments the ...

The 1940 Act generally provides for the use of series, but does not specifically address all of the different aspects of applying its requirements to ...