News & Analysis as of

Registered Investment Companies (RICs) Filing Requirements

Foley Hoag LLP

Reminder: New Say-on-Pay Disclosures for Institutional Investment Managers Now Effective

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The Securities and Exchange Commission (“SEC”) adopted amendments to Form N-PX on November 2, 2022. Previously, Form N-PX applied solely to registered investment companies (i.e., mutual funds, exchange-traded funds and...more

Akerman LLP

Initial Form N-PX Filing Deadline for Institutional Investment Managers Approaching

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Investment managers required to file Form N-PX pursuant to Rule 14Ad-1 of the Securities Exchange Act of 1934, as amended, will face their initial Form N-PX filing deadline on August 31, 2024. Although the filing obligation...more

McDermott Will & Emery

COVID-19 Considerations for Private Investment Funds

The recent coronavirus pandemic presents significant challenges for private investment fund sponsors. Navigating these challenges requires proactively addressing risks and thoughtfully considering the following issues...more

A&O Shearman

UPDATED: SEC Extends Sweeping Temporary Exemptions Granted to Funds to Comply with Voting, Reporting and Prospectus Delivery...

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In an Order dated March 25, 2020, the Securities and Exchange Commission extended the exemptions offered to investment companies, business development companies (BDCs) and investment advisers grappling with challenges to the...more

K&L Gates LLP

COVID-19: UPDATED Regulatory Relief for Registered Funds and Investment Advisers

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The pandemic coronavirus (“COVID-19”) continues its unprecedented disruption of the economy and markets....more

WilmerHale

SEC Extends Deadline for Form ADV and Form PF Filing for Advisers, Disclosure Relief for Registered Funds and Business Development...

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On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order (the Advisers Act Release) under the Investment Advisers Act of 1940 (Advisers Act) providing regulatory relief for investment advisers whose...more

Dorsey & Whitney LLP

SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from...

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On March 13, 2020, the Securities and Exchange Commission (SEC), indicating that it is closely monitoring the impact of coronavirus on investors, funds and advisers, announced regulatory relief for funds and investment...more

Dechert LLP

CFTC Finalizes Regulation Amendments: Certain Registered and Exempt CPOs and CTAs Need to Take Action

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The Commodity Futures Trading Commission published in the Federal Register on December 10, 2019 several amendments to the regulatory framework applicable to certain commodity pool operators (CPOs) and commodity trading...more

Eversheds Sutherland (US) LLP

SEC investment company filings during government shutdown

The Securities and Exchange Commission (SEC) is subject to the current federal government shutdown due to lack of funding, and generally it will follow its “Operations Plan Under a Lapse in Appropriations and Government...more

Dechert LLP

SEC Provides Regulatory Relief to Entities Affected by Recent Hurricanes

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The U.S. Securities and Exchange Commission (SEC) on September 28, 2017 announced that the SEC and its staff are providing relief to aid regulatory compliance with certain provisions of the federal securities laws by certain...more

Dechert LLP

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

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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

Kramer Levin Naftalis & Frankel LLP

Funds Talk: March 2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

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