Mutual Funds

Count this as an upcoming SEC requirement put off by the new Dodd-Frank reform law: The agency has released a no-action letter stating it wouldn't ...

This real-life scenario captures the challenges faced by money managers today, especially when overseeing several funds and owing a fiduciary duty to each. To simplify ...

The staff has been asked whether an investment company registered under the Investment Company Act of 1940 ("Investment Company Act") or a company that has ...

One letter permits an investment company to offer investors more options to purchase precious minerals through an investment adviser owned by the fund board. The ...

The SEC has released “immediate guidance” designed to help mutual funds, ETFs and other investment companies be clearer in their disclosures about use of derivatives. ...

Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would spell out ...

The Treasury Department has squeezed mutual funds into the definition of a financial institution under the Bank Secrecy Act, meaning funds will have to have ...

If you haven't had the experience yet, chances are there'll be a day when you must stand before a board of directors. Here are some ...

This is a final rule released by the SEC in February 2010 affecting money market funds. It carries various compliance dates (S7–11–09 and S7–20–09).

The SEC's final rule from December 2009 governing proxy disclosures.