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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
Proxy Disclosure and Solicitation Enhancements
On December 16, 2009, the SEC approved rules changing the information provided to shareholders in proxy materials about risk, compensation, and corporate governance. The rule apply to all public companies regulated by the SEC,… read more