WebMar 22, 2024 · 11) See Liquidity Rule Adopting Release at n.633 (“Rule 22e-4 (a) (7) refers to highly liquid investments that are ‘assets’ to make clear that when evaluating whether a fund is meeting its... WebDec 21, 2024 · The new Rule amends Form N-PORT to add new items to Part B (“Information About the Fund”), as well as to make certain amendments to the form’s General Instructions. a. Derivatives Exposure. According to the adopting release, a fund that relies on the limited derivatives exception will include information about its …
SEC Staff Issues FAQs on the Investment Company Reporting …
WebApr 21, 2024 · The SEC states in the Adopting Release that it has “determined to maintain as nonpublic all reports filed on Form N-PORT for the first six months following … WebMar 14, 2024 · The adopting release for the Reporting Modernization Rules provided that the original compliance date for Form N-PORT data gathering and filing would be: June 1, 2024 for funds that are part of a ... nss810a5w
City of Newport Applications & Forms
WebNov 15, 2024 · The Release proposes a compliance date of 12 months after the effective date of the Proposals for all other aspects of the Proposals, including (i) the proposed amendments to the Liquidity Rule and (ii) the related reporting requirements on Forms N-PORT and N-CEN, except the swing pricing-related disclosure on Form N-PORT. … WebSep 30, 2024 · On September 25, 2024, the U.S. Securities and Exchange Commission (the “Commission” or “SEC”) approved Rule 6c-11 under the Investment Company Act of 1940, as amended (“1940 Act”) and related amendments to Form N-1A for exchange-traded funds (“Disclosure Amendments”). On October 28, 2024, the Securities and Exchange Commission (the “Commission”) adopted new rule 18f-4 under the Investment Company Act of 1940 (the “Act”), as well as additional rule and form amendments, that together are designed to provide an updated, comprehensive approach to the regulation of funds’ … See more New rule 18f-4 permits mutual funds (other than money market funds), ETFs, registered closed-end funds, and business development companies (collectively, “funds”) to enter into derivatives transactions and … See more Form N-PORT. Amendments to this form require a fund to report information regarding its derivatives exposure if it is relying on the limited derivatives user exception, and (for … See more The Act limits funds’ ability to engage in transactions that involve potential future payment obligations, including obligations under derivatives such as forwards, futures, swaps and written options. The new rule permits … See more Leveraged or inverse funds will generally be subject to rule 18f-4 like other funds, including the requirement to comply with the VaR-based limit on fund leverage risk. The rule includes an exception from the VaR-based limit for … See more nihe welfare reform