Mutual Funds

It may come from another century but that 1998 guidance from the SEC on distribution payments should ring like a new bell for you. OCIE's ...

The staff has observed that a significant number of these comments relate to a handful of Items on the Form. In order to assist applicants ...

The phenomenal growth in alternative investment mutual funds has caught OCIE's attention, giving the strategy a spot on its 2014 exam priorities list. Investments in ...

One result of a new U.S. Supreme Court ruling affecting investment advisers may be more whistleblowers turning to the compliance department to report their complaints.Last ...

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

The way mutual funds are sold has changed greatly since the SEC issued its fund supermarket "no-action letter" in 1998. Then OCIE promised to "closely ...

Like striking a match in a tinderbox, engaging in cross trades creates hazards that can easily burn an adviser (see related story). Let's recap the ...

The Division has received inquiries from registrants with respect to amendments to investment company charters in light of the requirements of Rule 14a-4 under the Securities ...

The SEC Division of Investment Management encourages advisers and fund boards to consider "certain steps" given uncertainty as the Fed "contemplates the possible end of ...

An investment fund maintained by a charitable organization for the collective investment of certain assets of charitable organizations (Charitable Investment Fund) that is organized and operated ...