Mutual Funds

The staff’s view is that funds may electronically deliver to their shareholders the required “written statement” describing the sources of their distributions.

The staff encourages any fund that exposes investors to market, credit, or other risks, and whose name suggests safety or protection from loss, to reevaluate ...

The release states that the agency has recently asked some managers to change the names of their funds

The latest guidance from the SEC's Division of Investment Management takes on the situation where an investment adviser temporarily manages a registered mutual fund for ...

One particular context in which an investment adviser may be temporarily providing advisory services to a fund at cost or for no compensation involves an ...

The staff has received an inquiry regarding whether an ETF may merge with another affiliated ETF, notwithstanding certain material representations made in the exemptive application underlying ...

It's not uncommon for CCOs to oversee multiple entities these days, e.g., a mutual fund adviser and one that handles separately managed accounts. If you're ...

This Guidance Update summarizes views of the Division regarding certain disclosure and compliance matters relevant to funds that invest in commodity interests. The guidance is ...

The staff notes that while many different kinds of mutual funds may hold tri-party repos (and thus this staff guidance note may be useful to ...

The CFTC last week avoided a fate that twice has befallen the SEC - having its rulemaking rejected for conducting deficient costs and benefits analyses. ...