Events listed in Investment Company Act of 1940
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool ...
ID 26147
The U.S. Securities and Exchange Commission (SEC) has published new Form PF which will be valid through April 30, 2024 unless otherwise modified before. The form collects information aimed at monitoring systemic risk in the private fund industry, including hedge funds and privat equity funds. Form PF is a regulatory filing requested by the SEC under the Investment Company Act of 1940. It must ...
Certified shareholder report of registered management investment companies (PDF)
ID 25657
The U.S. Securities and Exchange Commission (SEC) has published Form N-CSR – Certified Shareholder Report of Registered Management Investment Companies which will be valid through September 30, 2026 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB). Form N-CSR is a regulatory filing required of the SEC on a semi-annual and annual basis for registered management investment companies ...
Investment Company Names; Correction
ID 25518
The U.S. Securities and Exchange Commission (SEC) has published in the Federal Register a correction to its final rule as regards the naming of investment funds. The correction modifies two statements relating to the date of application of the new rule to explicitly specify that – larger fund groups with net assets of more than $1 billion must comply with the new rules by ...
Investment Company Names
ID 25286
Following a corresponding consultation in May 2022 (EventID 15777) and a previous announcement of a final rule relating to the naming of investment funds (EventID 23087), the Securities and Exchange Commission has published this final rule in the Federal Register. In it, the SEC describes the feedback it has received to its consultation and stipulates the final provisions as they will come into force ...
Registration form for open-end management investment companies (PDF)
ID 25090
The U.S. Securities and Exchange Commission (SEC) has published new Form N-1A related to the registration of open-end management investment companies (mutual funds). The new form must be used for registration beginning October 2, 2023 and will be valid through July 31, 2026 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB). Form N-1A requires essential information about ...
SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund ...
ID 25016
Following a corresponding consultation in May 2022 (EventID 15777), the U.S. Securities and Exchange Commission (SEC) has now announced its final rule relating to the naming of investment funds. In this rule, the SEC describes the feedback it has received to its consultation and stipulates the final provisions as they will come into force two months following the rule’s publication in the Federal Register ...
FORM N-CSR (pdf)
ID 24366
The U.S. Securities and Exchange Commission (SEC) has published Form N-CSR – Certified Shareholder Report of Registered Management Investment Companies which will be valid through September 30, 2025 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB). Form N-CSR is a regulatory filing required of the SEC on a semi-annual and annual basis for registered management investment companies ...
Registration statement for closed-end management investment companies (PDF)
ID 24222
The U.S. Securities and Exchange Commission (SEC) has published Form N-2 – Registration statement for closed-end management investment companies which will be valid through July 31, 2026 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB) of a corresponding extension. The statement has to be filed with the SEC by closed-end investment companies for registering securities offerings under ...
SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting ...
ID 24199
Following a public consultation on proposed rule changes under the Investment Company Act of 1940 concerning requirements of money market mutual funds (MMFs) as regards liquidity risk management which was launched back in 2021 as a consequence of the liquidity issues many MMFs faced during the onset of the COVID-19 pandemic in March 2020 due to a surge in redemption requests from investors, the ...
Annual Report of Proxy Voting Record of Registered Management Investment Company ...
ID 23660
The U.S. Securities and Exchange Commission (SEC) has re-published its revised Form N-PX – Annual Report of Proxy Voting Record to be used for reporting periods ending on or after July 1, 2024. The revised form reflects the revisions made by final rule RIN 3235-AK67 (EventID 18899) which significantly enhanced the disclosure requirements on proxy voting, effective July 1, 2024. Form N-PX must be ...