The staff of the U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management (Staff) on July 18, 2017, released answers to frequently asked questions (FAQs) about the rules and forms relating to...more
8/3/2017
/ Amended Rules ,
Debt Securities ,
Derivatives ,
Filing Deadlines ,
Filing Requirements ,
Form N-CEN ,
Form N-PORT ,
Investment Companies ,
Money Market Funds ,
Public Disclosure ,
Registered Investment Companies (RICs) ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Updated Forms
The U.S. Securities and Exchange Commission (SEC or Commission) has adopted, by a 2-to-1 vote, new rules and forms, as well as amendments to certain rules and forms (Final Rule), to modernize the reporting of information by...more
The U.S. Securities and Exchange Commission (SEC or Commission) unanimously approved a proposal (Proposal) to modernize the reporting of information provided by registered investment companies (funds). Guided by the recent...more
6/17/2015
/ Amended Regulation ,
Asset Management ,
Compliance ,
Derivatives ,
EDGAR ,
Federal Register ,
Form N-CEN ,
Form N-PORT ,
Form N-SAR ,
Investment Companies ,
Investment Company Act of 1940 ,
Legal Entity Identifiers ,
Mary Jo White ,
Money Market Funds ,
Private Funds ,
Registered Funds ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Small Business Investment Company
The U.S. Securities and Exchange Commission (SEC) today unanimously approved proposals (Proposals) to modernize the reporting of information provided by registered investment companies (funds) and registered investment...more
5/22/2015
/ Annual Reports ,
Financial Statements ,
Form ADV ,
Form N-CEN ,
Form N-PORT ,
Form N-SAR ,
Form PF ,
Investment Adviser ,
Investment Companies ,
Private Funds ,
Public Disclosure ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)