Mutual fund filing requirements
[PDF File]A Guide for Investors - SEC
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A mutual fund is an SEC-registered open-end investment company that pools money from many investors and invests . the money in stocks, bonds, short-term money-market instru-ments, other securities or …
[PDF File]Modernizing mutual fund reporting for today’s environment
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Modernizing mutual fund reporting for today’s environment ... new forms, rules, and amendments to modernize the current reporting and disclosure requirements of certain Registered Investment Companies (RICs). As the primary regulator of the investment ... time to satisfy Form N-Q’s 60-day filing requirements for the final filing …
[PDF File]Collective Investment Trusts Lower Costs and Greater ...
https://info.5y1.org/mutual-fund-filing-requirements_1_ecb332.html
CITs typically have lower expenses than mutual funds because in many cases they have lower marketing costs, no board of directors, no SEC filing requirements and generally have lower overhead. CITs …
[PDF File]Regulatory Notice 16-41 - FINRA
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with the public.1 The amendments revise the filing requirements in FINRA Rule 2210 (Communications with the Public) and FINRA Rule 2214 (Requirements for the Use of Investment Analysis Tools) and the content and disclosure requirements in FINRA Rule 2213 (Requirements …
[PDF File]Form N-1A
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Item 15. Fund History ... 230.497] apply to the filing of Form N-1A. Specific requirements concerning Funds appear in rules 480 - 485 and 495 - 497 of Regulation C. (b) For registration statements and …
[PDF File]J. CEMETERIES - Internal Revenue Service
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Jul 03, 2001 · J. CEMETERIES 1. Introduction IRC 501(a) exempts cemeteries described in IRC 501(c)(13) from federal income tax. The provision exempting cemeteries is one of the oldest. …
[PDF File]Investment Management Alert Authors: New Interactive Data ...
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Dec 01, 2010 · formatting requirements for mutual fund prospectuses. Q: Is a mutual fund required to file an interactive data exhibit in connection with the filing of a summary prospectus pursuant to Rule …
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