Access to this article requires a User ID/Password.

If you are a subscriber or trial member please login using your provided credentials.

To obtain a trial membership please click HERE or contact Dan Lalor at 917-586-6726 or via email at

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


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.