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• Daily Alerts
  • Fund Changes
  • New Fund Registrations
• EDGAR Library
  • Simfund Criteria
  • SEC Criteria
• Industry Digest
  • Fund Changes Weekly
  • New Funds Monthly

General Guidelines

• On a daily basis 497-type filings (prospectus “stickers”) – documents that contain substantial fund / company proposed and / or final changes - are being researched. The changes are catalogued into 50+ categories.
• New information is being compared to prior information from the prospectus that the “sticker” is referring to. Both prior and new data-points are being collected and disseminated for users allowing for easy comparison.
• Both sticker and prospectus are being hyperlinked for potential further research needs.

Universal Data Limitations

Some of the changes may skip the 497 filing stage and appear directly in the next filed prospectus if a company opts for making the change in question effective at the date of the next filed prospectus. Those changes will not be catalogued in Daily Alerts – Fund Changes database (but the occurrence rate of such cases is minimal).

Tricks and Hints

• Fund Changes database is set up on a portfolio level. Class-specific information is marked “Refers to Class Name” in the note field to the record. To filter by a certain class, type in Class name in the Alert Text Contains field.
• Before conducting research on any specific category, please check when we started tracking this category (link to the category page with the add date) – that would help you analyze the results more accurately.

General Guidelines

• On a daily basis all the new registration filing types are researched:
• N-1* filing type - Registration statement for open-end management investment companies (contain new registration information for open-end funds):
• Initial statement (Form N-1A)
• Pre-effective amendments (Form N-1A)
• Initial statement (Form N-1)
• Pre-effective amendments (Form N-1)
• N-2* filing type - Registration statement for closed-end investment companies (contain new registration information for closed-end funds):
• Initial statement
• Pre-effective amendments
• 485APOS – Post-effective amendments (contain new registration information for open-end funds that are being filed as part of the existing fund family and new registration information for open-end share classes).
• Key and background fund information is collected:
• Objective / Fund Type / OCV / Hedge
• All Service Providers
• All pricing and fee and expense details
• Detailed Investment Objective / Sales Load / Minimum Investment / etc.
• Links to the initial filing and all the subsequent filings (during the 6-month period that the new fund is being “watched” in its registration stage) are provided for easy access to the underlying information for further research.

Universal Data Limitations

A new fund / share class can be mistakenly registered by company NOT in a new registration form, hence it won’t appear in the Newly Registered Funds database (the occurrence rate of such cases is minimal).

To perform searches in the Simfund Criteria section you don’t need to know SEC filer’s identifiers (CIK number, Trust name, Accession ID, etc.). Simfund Search Criteria are based on Simfund classifications of objective, fund type, distribution channel, etc. Portfolio / Company names appear on this search like they are registered in Simfund which corresponds to Portfolio / Company marketing names (names that they are known by in the industry).

Universal Data Limitations

In this section of Fund Filing, you cannot perform searches on funds that are not registered in Simfund. The following are the reasons why you cannot find your fund using EDGAR Library – Simfund Criteria and solutions on how to proceed with your search in other areas of Fund Filing:

• Newly Registered Fund: A fund is at its initial registration stage (no assets raised yet).
  Proceed with your search by going to Daily Alerts – Newly Registered Funds: www.fundfiling.com/fundfiling/alerts/newfund/main.aspx.
• “Young” Fund: There is a certain time gap in funds being filed with the SEC and funds appearing in Simfund due to Simfund data collection methodology (fund has to have assets and some other key data points to be presented in the Simfund database). The occurrence rate of such cases is minimal though.
  Proceed with your search by going to
• Daily Alerts – Newly Registered Funds: www.fundfiling.com/fundfiling/alerts/newfund/main.aspx OR
• EDGAR Library - SEC Criteria: www.fundfiling.com/fundfiling/SEC/search/main.aspx.

To perform searches in the SEC Criteria section you need to know SEC filer’s identifiers (CIK number, Trust name, Accession ID, etc.).

Research Universe

Daily Alerts – Fund Changes: all records for each week.

General Guidelines

1. On a daily basis 497-type filings (prospectus “stickers”) – documents that contain substantial fund / company proposed and / or final changes - are being researched, and then compared to prior information from the prospectus that the “sticker” is referring to. The changes are catalogued into 50+ categories.
2. This information is then being collected on a weekly basis into a summary report or newsletter, Weekly Synopsis.

Notes on Weekly Synopsis Setup

1. Historical synopsis reports dates back to 08/2002.
2. Major Sections:

• Regulatory/Compliance
• Fee and Expense/Pricing
• Sub-Advisory/Advisory Relationship
• Service Provider
• Objective/Strategy
• Portfolio Manager
• Mergers/Acquisition
• Newly Registered Funds
• Fund Liquidations.

1. Minor Sections:

• Regulatory-Market Timing, Regulatory-Distribution, Regulatory-Sub-Advisory, Regulatory-Miscellaneous,
• Sales Charges, Redemptions, Fee Waivers, Dealer Concession, 12b-1 and Shareholder Service Fees, Other Expenses
• Maximum Investment, Minimum Investment
• Advisory Fee Changes, Sub-Advisory Fee Changes, Administrative Service Fee Changes, Service Provider Fee Changes
• Advisory Relationship Changes, Sub-Advisory Relationship Changes
• Fund Reorganizations

Universal Data Limitations

• Some of the changes may skip the 497 filing stage and appear directly in the next filed prospectus if a company opts for making the change in question effective at the date of the next filed prospectus. Those changes will not be catalogued in Daily Alerts – Fund Changes database and therefore, will also not be found in the Weekly Synopsis (but the occurrence rate of such cases is minimal).
• Some of the changes filed are lengthy and cumbersome, and will not fit easily into a short synopsis. Since the goal of the synopsis is to give as quick a snapshot of the week’s changes as is possible, these cumbersome changes will be referred to briefly, and then linked to the document for further investigation by the reader.

Sample Synopsis

View Sample

Research Universe

New Fund Registrations: all long-term fund registrations for each month.

General Guidelines

• Mutual fund companies file “Form N-1A” to register a new fund. SIMFundfiling.com captures these filings on a daily basis. Once a month, Simfund analyzes all long-term funds filed during a month and puts together a report based on these findings. Each report begins with a summary on product development trends for the month, and then offers brief descriptions of each fund filed. For the most part, all long-term funds registered are included in the report, but in a few cases, more focus is placed on filings by large companies, as well as funds with less conventional investment approaches.
• Each fund has an embedded link to a summary page in SIMFundfiling.com. In the summary page, users can find more technical details and excerpts from the prospectus in regards to the fund’s investment objective. Users can also access the actual registration (Form N-1A).

Notes on New Funds Monthly Synopsis Setup

1. Historical synopsis reports dates back to 12/2000.
2. The Major Sections are usually closed-end equity, open-end equity, closed-end bond, and open-end bond. Some Sections will depend on product development themes for that month.

Sample Synopsis

View Sample