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SEC's New Proxy Disclosure Enhancements Require Updates to Registration Statements and Trustee & Officer Questionnaires

On February 28, 2010, the SEC's new proxy disclosure enhancements went into effect. Not only do the new disclosure rules make changes to proxy statements and information statements, they also require ...
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Mutual Fund Summary Prospectus

Form and Rule Changes The SEC adopted revisions to Form N-1A that require mutual funds to provide a new summary section at the front of the prospectus with key information about the fund such as its ...
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SEC Adopts Safeguards to Protect Client Assets Controlled by Investment Advisers

On December 16, 2009, the SEC announced that it had adopted rules to increase the protections for investors who turn their money and securities over to SEC-registered investment advisers. The new ...
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Fund Reorganizations Could Cut Costs and Improve Efficiency

In the current economic climate, ways to streamline, downsize and generally become more efficient can prove valuable in the long run. For the fund industry, one way to realize some efficiencies may be ...
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