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Reporting Requirements Exchange Traded Funds Form N-CEN

K&L Gates LLP

Checked Swing—SEC Does Not Adopt "Swing Pricing" or a "Hard Close" for Now, but Only Provides Liquidity Guidance and Amendments to...

K&L Gates LLP on

EXECUTIVE SUMMARY On 28 August, 2024, the Securities and Exchange Commission (SEC) adopted amendments to reporting forms for registered investment companies (funds) that will (1) require funds to file monthly (rather than...more

Dechert LLP

SEC Enhances Reporting on Forms N-PORT & N-CEN; Issues Liquidity Guidance

Dechert LLP on

On August 28, 2024, the SEC, by a vote of three to two, adopted amendments (Amendments) to the current reporting requirements on Form N-PORT and Form N-CEN and provided guidance (Liquidity Rule Guidance) related to liquidity...more

Sullivan & Worcester

SEC Adopts New Rules on Investment Company Use of Derivatives

Sullivan & Worcester on

he U.S. Securities and Exchange Commission (the “SEC”) recently adopted new rules and rule and form amendments under the Investment Company Act of 1940 (the “1940 Act”) relating to, among other things, use of derivatives and...more

Troutman Pepper

Investment Management Update - January 2020

Troutman Pepper on

SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments - On December 18, 2019, the Securities and Exchange Commission (SEC) proposed amendments to the definition of “accredited investor” in...more

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