Mutual Funds

Funds encouraged to consider their TIPS-related calculation methodology and adequacy of disclosures

The proposal, which has some crossover to the SEC’s ESG proposal, would—if finalized—hand CCOs a major role

The staff strongly encourages registered investment companies that invest significantly in Treasury Inflation-Protected Securities and that choose to advertise their SEC Yield to carefully consider ...

The concept of a multi-series trust first popped up in the 1980s. The trend shows that many newer and smaller advisers prefer to put their mutual ...

Investors may reasonably expect funds with these names to invest in companies with policies, practices, or characteristics that are consistent with these standards, particularly when ...

System "often failed" to correctly identify and implement purchase limits on Class C shares when lower cost A shares available

Since at least January 2016, and continuing from the date Harnish purchased KMA in February 2020 and through December 2020, KMA invested the vast majority ...

These disclosures did not adequately disclose all material facts regarding the conflicts of interest that arose when it invested advisory clients through the Introducing Broker-Dealer ...

The new proposal would hand compliance a second job

The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...