Mutual fund requirements

Rule 498 document posting and linking, plus the Rule 30e-1 shareholder report materials. These apply to ETFs too, since ETFs register on Form N-1A.

Everything here is static documents, so it is the easiest part of the site to mirror exactly on failover. Performance, daily NAV and top holdings are not required for non-money-market mutual funds; they are covered under recommended content.

Summary prospectus landing page (Rule 498)

MF-01 Required

Landing page at the summary prospectus cover URL with the current summary prospectus, statutory prospectus, SAI, and most recent annual and semi-annual shareholder reports (tailored reports, one per class). A central page with prominent links is fine; a home page is not.

Timing: On or before the summary prospectus is sent; always current
Basis: ADI 2025-15; Rule 498(e)(1)

MF-02 Required

The statutory prospectus and SAI have hyperlinked tables of contents that jump to each section and back.

Basis: Rule 498(e)(2)(ii)

MF-03 Required

The summary prospectus links to the statutory prospectus and SAI, either section to section, or with links at both the beginning and end (or continuously visible) plus both tables of contents. Links at the top only fail; SEC staff flagged this.

Basis: Rule 498(e)(2)(iii)

MF-04 Required

A downloadable copy of each document that keeps the hyperlinked table of contents.

Basis: Rule 498(e)(3)

MF-05 Required Counsel to confirm

Prospectus and SAI supplements are posted alongside the document they amend.

Timing: Same day as filing
Basis: Part of the "current" prospectus, Rule 498(e)(1)

Shareholder report materials (Rule 30e-1)

MF-06 Required

Form N-CSR Items 7–11 (financial statements, financial highlights and related items), or the full N-CSR, at the address printed at the start of the shareholder report.

Timing: Post within 60 days of fiscal year-end or half-year end; keep until 60 days after the next. Example for a Dec 31 year-end: post by about Mar 1, keep until about Aug 29.
Basis: Rule 30e-1(b)(2)(i)

MF-07 Required Mutual funds, ETFs

Complete portfolio holdings as of fiscal Q1 and Q3 end, in Regulation S-X 12-12 to 12-14 schedule format (need not be audited). Not required for money market funds.

Timing: Post within 60 days of quarter-end; keep until 60 days after the next Q1/Q3 end
Basis: Rule 30e-1(b)(2)(ii)

MF-08 Conditional

If several series or document types share one page: clear separation by series and type, plus a hyperlinked table of contents.

Basis: Rule 30e-1(b)(2)(vii)

Summary prospectus landing page (Rule 498)

Shareholder report materials (Rule 30e-1)

Other postings