On August 28, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments to reporting requirements on Forms N-PORT and N-CEN that apply to certain registered investment companies, including registered open-end...more
On May 25, 2022, the Securities and Exchange Commission (“SEC”) proposed amendments to Rule 35d-1 (the “Names Rule”) under the Investment Company Act of 1940, as amended (“1940 Act”), as well as amendments to fund...more
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
12/8/2020
/ Business Development Companies ,
Derivatives ,
ETFs ,
Exemptive Relief ,
Form N-CEN ,
Form N-PORT ,
Investment Company Act of 1940 ,
Investment Management ,
Leveraged Finance ,
New Rules ,
Reporting Requirements ,
Risk Management ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission (the “SEC”) re-proposed on November 25, 2019 rules under the Investment Company Act of 1940 (the “1940 Act”) relating to, among other things, use by investment companies of...more
12/9/2019
/ Business Development Companies ,
Closed-End Funds ,
Derivatives ,
ETFs ,
Form N-CEN ,
Form N-PORT ,
Investment Company Act of 1940 ,
Leveraged Finance ,
Open-Ended Fund Companies (OFCs) ,
Proposed Amendments ,
Proposed Rules ,
Public Comment ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transition Relief