Jun 02, 2011
- Linda Hoard, BNY Mellon Asset Servicing
Linda HoardIn today's fast-evolving regulatory environment, there's a dizzying array of Securities and Exchange Commission filings and forms for mutual fund boards to consider. Board members must always be aware of, and often times review as well as approve these filings and forms. That task can be daunting, especially given that these documents are commonly identified only by letters or numbers. In addition, the SEC continues to adopt additional filings and forms with new acronyms every year.
Below is a primer on the more commonly known fund filings and forms, designed to serve as a reference guide.
Periodic Fund Filings
During its fiscal year, a fund is required to file a number of reports at periodic intervals with the SEC. These reports, described below, provide the SEC with both financial and non-financial information about the fund.
Form N-CSR This certified shareholder report is filed with the SEC....
Start your Fund Director Intelligence service today for full access
Not ready to subscribe? Register today for a free trial.
Aug 29, 2014 - Hillary Jackson
It’s only been a little over a month since the Securities and Exchange Commission adopted new money market fund rules, and the analysis is well under way.
Jul 31, 2014 - Hillary Jackson
The mutual fund industry was jolted in mid-July with news that one of its own had suddenly, unexpectedly died.
Jul 03, 2014 - Hillary Jackson
There has been much ado about the Securities and Exchange Commission and its increased scrutiny of the fund industry—including independent fund directors—over the past couple of years.
© 2014 Institutional Investor LLC. All material subject to strictly enforced copyright laws.
Please read our Terms and Conditions and