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Filing Requirements Mutual Funds

WilmerHale

Reminder for all 13F Filers: Form N-PX is due this month - by August 31, 2024

WilmerHale on

Mutual funds and other registered investment companies have long had an obligation to file Form N-PX, giving the SEC and the public access to how a fund voted proxies on an annual basis. New Rule 14Ad-1 under the Securities...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

Carlton Fields

New Procedures for Mutual Fund and Insurance Product SEC Filings

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In Release No. 33-10618 (Mar. 20, 2019), the SEC adopted amendments (the “Amendments”) that consolidate, conform, and otherwise refine numerous requirements applicable to filings with the agency. ...more

Carlton Fields

XBRL Amendments Have Limited Impact on Insurance Products

Carlton Fields on

On June 28, the SEC amended existing requirements for public operating companies and mutual funds regarding the use of eXtensible Business Reporting Language (XBRL) for financial statement information and risk/return...more

Carlton Fields

Expect Focus - Volume II, June 2018

Carlton Fields on

New York Pushes Mutual Fund Active Share Disclosure - New York’s Attorney General issued a report on its recent investigation of fees charged by actively managed equity mutual funds and a metric known as “Active Share.”...more

Morgan Lewis

Mutual Funds with CFCs: Take Note of BE-10 Reporting Requirements

Morgan Lewis on

Mutual funds with Controlled Foreign Corporations may need to file a BE-10 with the Bureau of Economic Analysis or request an extension before the reporting deadline....more

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