Form PF — What Purpose?
SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more
- Cost of Proposed User Fees by Registered Investment Advisers Further Discussed
- SEC Valuation Guidance for All Funds
- Update on Insider Trading in Mutual Fund...more
Board Oversight of Distribution and Financial Intermediaries -
One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more