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Filing Requirements Form N-PORT

Troutman Pepper

SEC Grants Relief to Funds and Advisers Related to COVID-19 Outbreak

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As a result of the current and potential effects of COVID-19, the SEC has relaxed certain requirements of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and rules under the Acts....more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - June 2019

In the inaugural issue of Investment Management Update, we summarize regulatory, litigation and industry developments from February 2019 to May 2019 impacting the investment management sector....more

A&O Shearman

SEC Modifies Form N-PORT Filing Timeline

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In what will be a welcome reprieve, the Securities and Exchange Commission eased compliance burdens for most mutual funds, ETFs and closed-end funds to file portfolio holdings reports on Form N-PORT. The SEC pushed back the...more

Eversheds Sutherland (US) LLP

SEC Delays Form N-PORT Filing Requirements 

On December 8, 2017, in connection with its ongoing review and assessment of EDGAR, its data needs and other systems, the Securities and Exchange Commission (the SEC) announced it is modifying its approach to submitting...more

Vedder Price

Investment Services Regulatory Update - December 2017

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - NEW RULES - SEC Delays Form N-PORT EDGAR Filing Requirement by Nine Months - On December 8, 2017, the SEC adopted a temporary rule (the Temporary Rule) delaying by...more

Dechert LLP

SEC Announces Delay in Form N-PORT Filing Requirements

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) on December 8, 2017 issued a temporary final rule (Temporary Rule) that provides a nine-month delay to the dates by which certain registered investment companies (funds) must...more

Goodwin

Financial Services Weekly News - December 2017 #2

Goodwin on

Editor's Note - Attack of the State AGs. On December 12, New York Attorney General Eric T. Schneiderman and 16 other state attorneys general (State AGs) sent a letter to President Trump arguing that past statements by Mick...more

Dechert LLP

SEC Staff Issues FAQs on the Investment Company Reporting Modernization Rules and Forms

Dechert LLP on

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

Dechert LLP

SEC’s Proposed Modernized Reporting Regime: Effects on ETF Sponsors

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) on May 20, 2015 unanimously approved proposed rules, forms and amendments that are intended to modernize and enhance the reporting and disclosure of information by investment...more

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