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The recent Supreme Court decision in Jones v. Harris confirmed that an evaluation of mutual fund fees should follow the standards articulated by a 1982 appeals court decision in Gartenberg v. Merrill Lynch Asset Management. This Supreme Court opinion has significant implications for future shareholder litigation involving funds and their advisers.
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1 | 1 | 7 years 41 weeks ago by cmfi |
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Large broker-dealers are using their market power over mutual funds to extract unnecessary fees for marketing and distributing fund shares.
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1 | 2 | 7 years 39 weeks ago by Niels Holch |
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Broker-dealers and other financial intermediaries manage investor accounts that are hidden from mutual funds, causing several significant regulatory problems.
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1 | 2 | 7 years 27 weeks ago by aline |
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After the financial crisis, the SEC is updating its regulatory framework for money market funds.
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SEC Rule 12b-1 permits mutual funds to pay broker-dealers and other financial intermediaries sales and distribution fees. The SEC is in the process of reforming this rule to align more carefully the interests of the funds and their advisers with the interests of investors.
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In the 112th Congress, legislation has been introduced on mutual fund issues and key Congressional committees have held hearings on SEC oversight of the mutual fund industry.
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