Registration
Compliance
(3 results | Login for (40) total results)
SEC Guidance on Director Duties Under Rules 10f-3, 17a-7 and 17e-1
On November 2, 2010, the SEC sent a letter to the Mutual Fund Directors Forum and the Investment Company Institute's Independent Directors Council regarding fund directors’ responsibilities to make determinations under Rules 10f-3, 17a-7… read more
Full text of the Investment Company Act, Securities Laws, and the associated rules and regulations
Full text of the Investment Company Act, Securities Laws, and the associated rules and regulations (maintained by the Cincinnati College of Law) read more
May 2, 2008 Letter from the Forum to Andrew J. Donohue re Board Duties
In May of 2008, the Mutual Fund Directors Forum submitted a letter to Andrew J. Donohue, Director of the SEC's Division of Investment Management, summarizing the perspective of a number of the Forum's members… read more