Mutual Funds

The aftermath of the SEC's settlement with eight former board members of five mutual funds related to Morgan Keegan & Company ($10B in AUM) in ...

In yet another rendition of “do what you say you’re going to do,” the SEC has fined a mutual fund, an administrator and the five ...

This is news worthy of a tweet. The SEC says "certain interactive content" posted to social media sites by mutual fund advisers need not be ...

This is guidance released March 15, 2013 by the SEC regarding social media records held by mutual fund advisers.

Those eight former board directors of five Morgan Keegan mutual funds facing legal action for allegedly failing to adequately oversee the valuation of subprime funds ...

The staff recently was asked for its views on whether the 3.8% tax should be included in determining the highest individual marginal federal income tax ...

Click here to open a Word file that is a risk matrix specifically designed for an adviser to a mutual fund or otherwise operates under ...

The staff recently was asked for its views on the following situation: a fund had separate administration and advisory agreements and its board wanted to ...

Target date funds are proving so popular the SEC's been pushing the idea of helping investors understand them better through tables, graphs, "glide paths" and ...

It's no secret states are on the prowl for more money like a starving leopard searching for food (IA Watch, June 28, 2010). This should ...