Mutual Funds

A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...

The evolution of accounting clarity that was FASB 157 could take another leap with release of a proposal that would require greater disclosure related to ...

The meeting was so important it warranted being broadcast to all of the SEC's regional offices, yet the doors were closed to the public.IA Week ...

This is a final rule released by the SEC in 2009, entitled Interactive Data for Mutual Fund Risk/Return Summary. This affects open-end management mutual funds ...

Satisfying the SEC when it comes to valuation begins with having policies and procedures that are consistent and take into account contingencies, but the job ...

Phone records are behind the SEC's first case involving allegations of insider trading of credit default swaps by a hedge fund. The agency has charged ...

Investments in mutual funds in 2008 dropped 20% to $9.6 trillion from $12 trillion the previous year. The numbers for closed-end funds and UITs suffered ...

Board directors "need to always be vigilant" and question investment advisers about fees and actions that could run counter to investors' interests, said SEC Commissioner ...

This is a final rule released by the SEC in 2009, entitled Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies. ...

As if the current financial picture didn't look bleak enough, the road ahead for baby boomers may be paved with poverty.That was one message emerging ...