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1419

SEC Enforcement Action for Fund Auditor Independence

The Securities and Exchange Commission has brought and settled an administrative proceeding against the independent auditor to three closed-end funds, an
Baker, John
Jul 1
#1419
 
1418

Funds of Funds May Invest in Non-Securities without an Exemptive Ord

The Division of Investment Management of the Securities and Exchange Commission has issued a no-action letter waiving the requirement that a fund of funds
Baker, John
Jun 30
#1418
 
1417

SEC Enforcement Action for Failures in Advisory Contract Approval Pr

The Securities and Exchange Commission has instituted and settled an administrative proceeding against an investment adviser, its principal, and three
Baker, John
Jun 17
#1417
 
1416

SEC Requests Comments on Exchange-Traded Products

The Securities and Exchange Commission has issued a release requesting public comment on topics related to the listing and trading of exchange-traded products
Baker, John
Jun 12
#1416
 
1415

Many Funds Subject to BEA Reporting Requirements

The U.S. Department of Commerce's Bureau of Economic Analysis increasingly is making its analytical and statistical filings mandatory for all potential filers,
Baker, John
Jun 7
#1415
 
1414

SEC Proposes Modernization of Fund and Adviser Information Reports

The Securities and Exchange Commission has proposed rule and form amendments to modernize and enhance the reporting and disclosure of information by investment
Baker, John
May 20
#1414
 
1413

SEC Cybersecurity Guidance

The Securities and Exchange Commission's Division of Investment Management today issued guidance identifying the cybersecurity of registered investment
Baker, John
Apr 28
#1413
 
1412

SEC FAQs on Money Market Fund Reforms and Valuation

The Securities and Exchange Commission's Division of Investment Management today released responses to frequently asked questions on the money market fund
Baker, John
Apr 22
#1412
 
1411

Re: SEC Enforcement Action on Fund Adviser Profitability Analyses

The SEC's original URL for this administrative proceeding included 34- in the file name, indicating a proceeding under the 1934 Act, when it should have been
fundlaw
Apr 21
#1411
 
1410

SEC Enforcement Action on Fund Adviser Profitability Analyses

The Securities and Exchange Commission today instituted and settled an enforcement action against an investment adviser to a family of mutual funds for
Baker, John
Apr 21
#1410
 
1409

Supreme Court Rules on Liability for Statements of Opinion

The U.S. Supreme Court has ruled that statements of opinion in a registration statement may give rise to liability under Section 11 of the Securities Act of
Baker, John
Mar 25
#1409
 
1408

Ninth Circuit Allows Mutual Fund Shareholder Suit

In a potentially far-reaching development, the U.S. Court of Appeals for the Ninth Circuit has reinstated a shareholder class action against the trustees and
Baker, John
Mar 9
#1408
 
1407

SEC Guidance on Gifts to Fund Advisory Personnel

The Securities and Exchange Commission's Division of Investment Management today issued guidance highlighting the conflict of interest that arises when the
Baker, John
Feb 23
#1407
 
1406

FSOC Seeks Comment on Asset Management

The Financial Stability Oversight Council today issued a Notice Seeking Comment on Asset Management Products and Activities. According to the notice, FSOC is
Baker, John
Dec 18, 2014
#1406
 
1405

SEC Opinion on Rule 10b-5 and Section 17(a)

The Securities and Exchange Commission has issued a major opinion, thus far without fanfare, on the application of the antifraud provisions of Rule 10b-5 under
Baker, John
Dec 17, 2014
#1405
 
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