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    • U.S. Securities and Exchange Commission & Mutual Fund

U.S. Securities and Exchange Commission & Mutual Fund Newsletter
  • SEC’s 2026 Exam Priorities Put Spotlight on Retirement Investors 19 Nov 2025 06:01 GMT

    The Securities and Exchange Commission’s Division of Examinations … or private credit. Because mutual funds are central to 401(k … other retirement accounts, the SEC is again making registered … intelligence. In particular, the SEC stated that it intends …

  • SEC Grants Dimensional Approval to Launch ETF Share Classes 19 Nov 2025 00:28 GMT

    The U.S. Securities and Exchange Commission approved Dimensional Fund Advisors … approval. According to the SEC’s order, the exemptive … overreaching. As when the SEC announced its intent to … ’s established mutual fund lineup. “The joining of mutual funds and ETFs …

  • DFA Breaks Vanguard's 20-Year Grip As SEC Approves ETF Share Classes 18 Nov 2025 22:55 GMT

    … share classes on existing mutual funds. The U.S. Securities and Exchange Commission (SEC) signed off on … planned applications, betting the hybrid mutual-fund/ETF structure can … will deliver meaningful benefits to mutual fund shareholders," said Eric …

  • SEC 2026 regulatory focus: Fiduciary duty, private credit, fintech and more 18 Nov 2025 20:01 GMT

    … products and private credit. The Securities and Exchange Commission’s Division of Examinations has … including mutual funds and ETFs, remain a high priority for the SEC. Examinations … For broker-dealers, the SEC’s priorities include financial responsibility …

  • SEC approves Dimensional Fund Advisors launch of ETF share class for 13 mutual funds 18 Nov 2025 00:35 GMT

    … -The U.S. Securities and Exchange Commission cleared the way for Dimensional … that patent with its SEC application, which received … “deliver meaningful benefits to mutual fund shareholders,” said Eric Pan … ways to access existing mutual funds since the issuers …

  • FUSE: Advisors Hesitant on Dual Share Mutual Funds/ETFs 18 Nov 2025 00:49 GMT

    … of existing mutual funds or ETFs. In September, the SEC published a … . ETF share classes of mutual funds. Slightly less than a … for either standalone ETFs or mutual fund/ETF dual shares. … from distributors for dual share mutual funds/ETFs because the …

  • BSEC issues gazette on ‘Mutual Fund Regulations 2025’ 13 Nov 2025 17:25 GMT

    The Bangladesh Securities and Exchange Commission (BSEC), the country’s capital … issued a gazette on ‘Bangladesh Securities and Exchange Commission (Mutual Fund) Regulations 2025’. The new regulation …

  • How Insurers Have Used ETFs to Manage Equity Exposure 19 Nov 2025 00:28 GMT

    … ETF Class Recently, the Securities and Exchange Commission approved the use of … share asset classes in existing mutual funds. “Tax efficiency, holdings … many benefits over the mutual fund wrapper.” As important as … does not expect the SEC’s approval will create …

  • 21Shares launches crypto index ETFs under SEC’s Act 40 14 Nov 2025 00:26 GMT

    … the FalconX umbrella. Related: SEC says proof-of-work mining … regulatory framework that governs US mutual funds and most conventional ETFs, imposing … date. As Cointelegraph reported, the Securities and Exchange Commission (SEC) has already approved a crypto …

  • Post-Shutdown, Advisors Still Face 'Limbo' in Some SEC Dealings 13 Nov 2025 19:37 GMT

    … has ended, and the Securities and Exchange Commission is preparing to reopen … or months while the SEC prioritizes cases with potential … approvals at the SEC).  According to SEC regulations, the agency … fund launches and pending mutual fund/ETF dual share …

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