Mutual Funds - FINRA.org
WEBJun 2, 2022 · FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds.
WEBThis discussion focuses on the regulation of mutual funds, which are the predominant form of regulated fund in the United States. Daily redeemability of fund shares at net asset value is a defining feature of mutual funds and one around which many of the requirements applicable to them are built.
What Are the U.S. Government Regulations of Mutual Funds?
WEBMay 31, 2019 · The federal government regulates securities markets through the United States Securities and Exchange Commission, which includes mutual funds. Mutual Fund Basics. Mutual funds consist of...
SEC.gov | Division of Investment Management
WEBSep 13, 2024 · The Division of Investment Management develops regulatory policy for investment advisers and investment companies, including mutual funds, exchange-traded funds, and other funds and products in the asset management industry.
Mutual Funds: Benefits and Regulations - The Balance
WEBOct 22, 2021 · Mutual funds are more regulated than other pooled investment options like hedge funds. These funds must comply with at least three federal laws and strict rules that are monitored by the Securities and Exchange Commission.
SEC Updates Regulatory Framework for Fund of Funds …
WEBWashington D.C., Oct. 7, 2020 — The Securities and Exchange Commission today voted to adopt a new rule and related amendments designed to put in place a comprehensive regulatory framework for fund of funds arrangements.
Anti-Money Laundering (AML) Source Tool for Mutual Funds
WEBMay 16, 2022 · Several statutory and regulatory provisions impose AML obligations on mutual funds. A wealth of related AML guidance materials is also available. To aid research efforts into AML requirements and to assist mutual funds with AML compliance, this source tool organizes key AML compliance …
US mutual fund industry pushes back on SEC pricing and liquidity …
WEBDec 29, 2023 · US financial regulation. US mutual fund industry pushes back on SEC pricing and liquidity plan. Regulator invokes need to safeguard buy-and-hold investors from rapid money flows. Rick...
How Regulation Is Driving Down Mutual Fund Costs Around …
WEBFeb 18, 2020. Regulation is one of the key drivers of increasingly low mutual fund fees around the world, as identified in the Fees and Expenses chapter of Morningstar’s latest Global...
India's markets regulator eases credit default swap norms for mutual funds
WEB2 days ago · India's markets regulator has allowed mutual funds to both buy and sell credit default swaps (CDSs) under certain conditions, it said in a circular on Friday, in a bid to drive up liquidity in the ...