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SEC to advisers: Turn over 15(c) documents, info

07/28/2022

The Securities and Exchange Commission has begun requesting documentation and information from mutual fund advisers about their funds' 15(c) processes and fees. The Division of Enforcement is issuing the requests, and while it's not exactly clear what prompted the effort, many are pointing to remarks Investment Management Division Director William Birdthistle ... Log in to view full article.

 


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