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Investment Management Regulation Committee

The Investment Management Regulation Committee focuses on regulatory and litigation issues faced by investment advisers and pooled investment vehicles, particularly mutual funds and other types of registered investment companies.  Recent topics addressed by the Committee include mutual fund governance (including the oversight role of fund directors), the distribution of mutual fund shares, regulatory initiatives applicable to money market funds and the regulation of political contributions by investment managers and their employees.

Recent Reports

Letter to the SEC regarding Money Market Fund Reform, Amendments to Form PF, SEC Release No. 33-9408 (September 2013) 
( PDF ) 
Subject area: Money Market Mutual Funds

Letter to the Commodity Futures Trading Commission offering comments on the proposing release Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators (May 2012) ( PDF )
Subject area: Commodity Pool Operators

Letter to the SEC on File No. S7-35-11 Treatment of Asset Backed Issuers under the Investment Company Act (November 2011) ( PDF )
Subject area: Investment Securities

For the full list of committee reports click here