GOVERNANCE

Mutual funds are organized under state law as a corporation or a business trust.
Mutual fund regulations are defined by:

  • The Investment Company Act of 1940

  • The Securities Act of 1933

  • The Securities Exchange Act of 1934

  • The Investment Advisers Act of 1940

Other applicable laws and statutes:

  • State “Blue Sky” laws

  • Sarbanes-Oxley Act

  • USA PATRIOT Act