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SEC Proposes Big Changes to Fund Disclosure

The SEC has proposed “comprehensive modifications to the mutual fund … disclosure framework,” as highlighted below. More detailed analysis of the proposal is also available in our legal alert. See “SEC Proposes Changes to...more

Second Circuit Opens Door to Lawsuits Based on Contract Violating 1940 Act

The Second Circuit has decided that Section 47(b) of the Investment Company Act of 1940 provides a private right of action for rescission of a contract that violates any provision of the 1940 Act or any rule or order...more

SEC ‘Investor Experience Initiative’ Expressly Includes Variable Insurance Products

The SEC, on June 5, announced that it would be exploring “modernization of the design, delivery and content of fund disclosures” in order “to improve the investor experience and help investors make more informed investment...more

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