Securities and Exchange Commission

Mutual Fund Prospectus Risk/Return Summary

Mutual fund prospectus risk/return summary data details investment objectives, principal strategies, and associated risks. Each record covers fields such as investment objectives, expense ratios, principal investment strategies, performance history, and key risks.

Example records
Namelegal entityCityaddressStateaddressZIP CodeaddressStreet AddressaddressFull Namelegal entityPhonephone numberAdshregistrationCikregistrationCountrybaaddressBas2addressCountrymaaddress
JAVELIN EXCHANGE-TRADED TRUSTPRINCETONNJ0854233 WITHERSPOON STREETJAVELIN EXCHANGE-TRADED TRUST60935608000001529290-11-0000171411903USSUITE 210US
HANNA INVESTMENT TRUSTROCKY MOUNTNC27802-0069116 SOUTH FRANKLIN STREETHANNA INVESTMENT TRUST25297299220001508033-11-0000181508033USPOST OFFICE BOX 69US
SMALLCAP WORLD FUND INCLOS ANGELESCA90071333 S HOPE ST - 55TH FL (MICG)SMALLCAP WORLD FUND INC21348692000001496998-11-000023858744USUS
Use cases

KYB Entity Verification for Fund Counterparties

A fintech platform onboarding institutional clients that manage mutual funds cross-references the fund's legal name, EIN, and state of incorporation against SEC filings to confirm the entity is registered, active, and matches the business identity presented during onboarding.

NameEINCikStprincCountryinc

Prospectus Filing Timeline Audit for Compliance Monitoring

A compliance officer at a broker-dealer tracks whether fund companies are filing updated prospectuses within required windows by comparing the filing date, effective date, and fiscal year end to flag funds whose disclosures may be stale or out of cycle.

AdshFiledEffdateFyeForm

Fund Sponsor Address Verification for Fraud Screening

An anti-fraud analyst at a transfer agent investigates whether the business address on record matches the mailing address submitted in a fund's prospectus filing, looking for discrepancies that could indicate shell structures or misrepresented principal offices.

Street AddressBas2Mas1Mas2Cityma
Related datasets
Form N-CENSecurities and Exchange CommissionRegistered Investment AdvisersSecurities and Exchange CommissionClosed-End FundsSecurities and Exchange CommissionBusiness Development Company DisclosuresSecurities and Exchange CommissionInsider TransactionsSecurities and Exchange CommissionForm 13F HoldingsSecurities and Exchange CommissionForm D Exempt OfferingsSecurities and Exchange CommissionFinancial Statement and NotesSecurities and Exchange CommissionBusiness Development Company ReportSecurities and Exchange CommissionPublic Company Bankruptcy CasesSecurities and Exchange CommissionVariable Insurance Product Data SetsSecurities and Exchange CommissionSEC Litigation ReleasesSecurities and Exchange CommissionCrowdfunding OfferingsSecurities and Exchange CommissionProvider Relief Fund, Accelerated, and Advance PaymentsU.S. Department of Health & Human ServicesPerformance Year Financial and Quality ResultsU.S. Department of Health & Human ServicesHealth Plan Transparency in Coverage Public Use FilesU.S. Department of Health & Human ServicesMedicaid Managed CareU.S. Department of Health & Human ServicesMedicare Fee-For-Service Public Provider EnrollmentU.S. Department of Health & Human ServicesMedicare Physician & Other PractitionersU.S. Department of Health & Human ServicesMultiemployer Pension PlansPension Benefit Guaranty Corporation