Spotlight on
Mutual Funds

Note: This page has been archived and is no longer being updated. It may include obsolete or out-of-date information.

Background and Investor Information

• Mutual Funds ("Fast Answer")
   
• Invest Wisely: An Introduction to Mutual Funds (Investor Education Brochure)
   
• The SEC Mutual Fund Cost Calculator (Interactive Tool for Comparing Mutual Funds)
   
• Mutual Fund Fees and Expenses ("Fast Answer")
   
• Mutual Fund Investing: Look at More Than a Fund's Past Performance (Investor Education Brochure)
   
• Mutual Fund Prospectus, Tips for Reading One ("Fast Answer")
   
• Breakpoints ("Fast Answer")
   

Commission Testimony and Initiatives

• Stephen M. Cutler, Director, Division of Enforcement, before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, concerning Recent Commission Activity to Combat Misconduct Relating to Mutual Funds (Nov. 3, 2003)
• Testimony
• Oral Statement
   
• Paul Roye, Director, Division of Investment Management, before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, concerning Initiatives to Address Concerns in the Mutual Fund Industry (Nov. 3, 2003)
• Testimony
• Oral Statement
   
• Remarks to the Securities Industry Association, by Chairman William H. Donaldson (Boca Raton, Fla., Nov. 7, 2003)
   
• SEC Brings Fraud Charges Against Former Prudential Brokers in Connection with Market Timing of Mutual Funds (Press Release, Nov. 4, 2003)
   
• SEC and NASD Announce Actions as a Result of Findings of "Breakpoint" Overcharges on Mutual Fund Transactions (Press Release, Nov. 3, 2003)
   
• SEC Brings Enforcement Actions Against Putnam Investment Management LLC and Two Putnam Managing Directors for Self-Dealing in Putnam Funds (Press Release, Oct. 28, 2003)
   
• New York AG and SEC Bring Criminal and Civil Actions Against Mutual Fund Executive (Press Release, Oct. 16, 2003)
   
• SEC Chairman Donaldson Releases Statement Regarding Initiatives to Combat Late Trading and Market Timing of Mutual Funds (Press Release, Oct. 9, 2003)
   
• Testimony of Chairman William H. Donaldson before the Senate Committee on Banking, Housing and Urban Affairs, concerning Recent Commission Activity To Enhance Investor Protections (first section focuses on mutual funds; Sep. 30, 2003)
   
• Testimony of Paul F. Roye, Director, Division of Investment Management, before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, concerning The Mutual Funds Integrity and Fee Transparency Act of 2003, H.R. 2420 (Jun. 18, 2003)
   

http://www.sec.gov/spotlight/mutualfunds.htm