Mutual Funds

An open-end or closed-end investment company ("fund") registered under the Investment Company Act of 1940 ("Investment Company Act") may seek to arrange a secured financing ...

This is a proposed rule from the CFTC released in February 2012 to attempt to harmonize its rules with the SEC so as to make ...

      Investment Company Act of 1940 — Section 7(d) Xplornet Communications Inc. January 11, 2012 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

Firms that issue asset-backed securities and use derivatives will want to be on the lookout for two invitations from the SEC to share their thoughts ...

Only two months after the U.S. Supreme Court handed the industry a 5-4 victory in the Janus Capital Group v. First Derivative Traders' case (IA ...

Another in the string of Dodd-Frank spurred reports popped out of the GAO last month. This one looked at rules around Mutual Fund Advertising.Of course, ...

This Tuesday, SEC commissioners are scheduled to consider finalizing their proposal to require institutional managers that manage more than $100 million in assets to annually ...

This is a 2011 SEC document request letter sent to an adviser to an Investment Company Act fund.

Business development companies can use the same Investment Company Act exception to avoid running their selection of a public accountant past shareholders as other funds, ...

The SEC has granted an adviser's request to shed the limits on a mutual fund's ownership of another investment company if the acquired entity is ...