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Litigation Challenging CFTC Rule Proposal
In early February 2012 the CFTC issued a controversial rulemaking that requires most funds investing in commodity-related instruments to register with the CFTC. As such, these funds will be subject to dual registration requirements… read more
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
Forum Comment Letter - Target Date Retirement Fund Names and Marketing
On August 23, 2010, the Forum submitted its comments on the SEC's rule proposal, "Proposed Rulemaking Regarding Investment Company Advertising: Target Date Retirement Fund Names and Marketing, File No. S7-12-10." read more
Supreme Court Opinion in Jones v. Harris Associates
On March 30, 2010, the U.S. Supreme Court released its opinion in the Jones v. Harris Associates case. read more
Investment Company Registration & Reporting Forms
Links to investment company registration and reporting forms. read more