Mutual Funds

One vote can make all the difference, as the U.S. Supreme Court proved last week when, by a 5-4 margin, it ruled for the RIA ...

This is the U.S. Supreme Court's decision from 2011 in the Janus Capital Group v. First Derivative Traders. The 5–4 decision made it tougher for ...

A recent SECno-action letter grants flexibility to an investment adviser that oversees mutual fund portfolios when it comes to alerting shareholders of the hiring of ...

No-Action Letter: Nationwide Mutual Funds, et al. (April 5, 2011) Investment Company Act of 1940 — Section 15(a) Nationwide Mutual Funds, et al. April 5, ...

For the second time in two years justices of the U.S. Supreme Court heard a case involving an RIA (IA Watch, April 19, 2010). Oral ...

Hot topics for SEC investigators related to mutual funds include the role of the board, valuation and advisory fees, according to the Mutual Fund Directors ...

For the second year in a row, the U.S. Supreme Court will hear a case involving an investment advisory firm (IA Watch, April 19, 2010). ...

Last week's SEC no-action letter seemed to come out of nowhere yet it served to send a statement to fund boards that they're ultimately responsible ...

If you're a compliance officer for a mutual fund, you have an additional four months to meet FinCEN's deadline for developing an AML program and ...

Section 18(f)(1) generally prohibits a registered open-end investment company or series thereof (“Fund”) from issuing any “senior security.” Section 18(g) of the Investment Company Act ...