Novaworks Weblog - Investment Management

SEC Proposes Amendments to Definitions for Investment Companies and Investment Advisers

nospam@example.com (LeAnn Dey) — Fri, 23 Jan 2026 11:15:00 -0500

The SEC has announced that it is proposing amendments to the rules pursuant both to the Investment Company Act of 1940 and the Investment Advisers Act of 1940 that define the terms “small business” and “small organization” for purposes of the Regulatory Flexibility Act to increase the asset-based thresholds used in those definitions. Continue reading "SEC Proposes Amendments to Definitions for Investment Companies and Investment Advisers"

SEC to Host Compliance Outreach on Regulation S-P

nospam@example.com (LeAnn Dey) — Tue, 20 Jan 2026 09:45:00 -0500

The SEC’s Divisions of Examinations, Investment Management, and Trading and Markets will hold the final of three compliance outreach events that discuss the 2024 adoption of amendments to Regulation S-P. The last of these events is geared toward each registrant type and has been scheduled according to compliance deadlines published in the Regulation S-P rule amendments. The webcast will take place on Thursday, January 22, 2026, from 11:00 a.m. to 12:30 p.m. Eastern. The event is open for the public to attend virtually on the SEC’s website. Though not required for remote attendance, prior registration is preferred. Continue reading "SEC to Host Compliance Outreach on Regulation S-P"

SEC Announces Series of Compliance Outreaches on Regulation S-P

nospam@example.com (LeAnn Dey) — Fri, 19 Sep 2025 11:00:00 -0400

The SEC's Divisions of Examinations, Investment Management, and Trading and Markets will hold a series of three compliance outreach events to discuss the 2024 adoption of amendments to Regulation S-P. The events will be geared toward each registrant type and scheduled according to compliance deadlines published in the Regulation S-P rule amendments. The first webcast will take place on Thursday, September 25, 2025, at 1:00 p.m. ET. The event is open for the public to attend via webcast on the SEC's website. Though not required for this event, prior registration is preferred. Continue reading " SEC Announces Series of Compliance Outreaches on Regulation S-P"

SEC Staff to Hold 2025 Conference on Emerging Trends in Asset Management

nospam@example.com (LeAnn Dey) — Thu, 22 May 2025 14:35:00 -0400

The SEC's Division of Investment Management has announced that it will host its 2025 Conference on Emerging Trends in Asset Management at which the Division will convene a variety of asset management industry participants, regulators, commentators, and academics to discuss emerging trends in the industry. The conference takes place on Thursday, June 5, 2025, from 9:00 a.m. to 4:30 p.m. ET, and is open for the public to attend. No registration is required for those attending the event via live broadcast on sec.gov. Continue reading "SEC Staff to Hold 2025 Conference on Emerging Trends in Asset Management"

SEC Extends Effective Date and Compliance Date for Form N-PORT Amendments

nospam@example.com (LeAnn Dey) — Wed, 23 Apr 2025 12:40:00 -0400

On April 16th, the SEC announced that it has extended the effective date and compliance date for Form N-PORT amendments from November 17, 2025, to November 17, 2027, for rules it initially adopted in August 2024. The rulemaking amended reporting requirements on Form N-PORT to provide the SEC and investors with decision-useful information about certain registered investment companies' (funds) portfolio holdings to help evaluate a fund's risks. These reports also promote efficacy in regulatory monitoring and oversight of the fund industry, which benefits fund investors. Continue reading "SEC Extends Effective Date and Compliance Date for Form N-PORT Amendments"

SEC Staff to Host Virtual Compliance Outreach Webinar for Investment Companies and Investment Advisers

nospam@example.com (LeAnn Dey) — Wed, 16 Oct 2024 16:41:00 -0400

The SEC's Divisions of Examinations, Investment Management, and the Asset Management Unit of the Division of Enforcement jointly will sponsor a virtual compliance outreach program that will encourage open communications and coordination among securities regulators and the industry concerning mutual fund, investment adviser, and broker-dealer compliance issues. This online program is free for the public to attend and will take place November 7, 2024 from 8:30 a.m. to 5:30 p.m. ET. Continue reading "SEC Staff to Host Virtual Compliance Outreach Webinar for Investment Companies and Investment Advisers"

SEC Rule Modernizes Definition of Qualifying Venture Capital Funds

nospam@example.com (LeAnn Dey) — Mon, 26 Aug 2024 16:30:00 -0400

On August 21st, the SEC adopted a rule to update the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for section 3(c)(1) of the Investment Company Act of 1940. Qualifying venture capital funds are not included in the Act’s definition of an “investment company.” Continue reading "SEC Rule Modernizes Definition of Qualifying Venture Capital Funds"

SEC’s Division of Investment Management to Hold Open Meeting

nospam@example.com (LeAnn Dey) — Thu, 22 Aug 2024 11:33:00 -0400

The SEC’s Division of Investment Management will hold an open meeting via webcast on sec.gov that will take place on Wednesday, August 28, 2024, at 10:00 a.m. ET. The meeting is open for the public to attend. Continue reading "SEC’s Division of Investment Management to Hold Open Meeting"

SEC Announces Filing Fee Exhibit Updates for Technical and Structured Data Information

nospam@example.com (LeAnn Dey) — Wed, 12 Jun 2024 17:41:00 -0400

The SEC has informed filers that they now may find revised information regarding technical and structured data aspects of the Filing Fee Disclosure and Payment Methods Modernization rule on the EDGAR Filing Fees webpage. Continue reading "SEC Announces Filing Fee Exhibit Updates for Technical and Structured Data Information"

SEC Staff Releases Latest Investment Adviser Statistics Report

nospam@example.com (LeAnn Dey) — Mon, 20 May 2024 16:26:00 -0400

On May 15th, the SEC’s Division of Investment Management Analytics Office issued a new report of Investment Adviser Statistics, which is based on compiled data filed by investment advisers on Form ADV, the form used by investment advisers to register with both the SEC and state securities authorities. The publication, which shows trends over time, will be updated annually. It is designed to provide the public with insight into the investment advisory industry as well as areas such as client composition, business activities, and the types of funds advised. Continue reading "SEC Staff Releases Latest Investment Adviser Statistics Report"

SEC to Hold Second Annual Conference on Emerging Trends in Asset Management

nospam@example.com (LeAnn Dey) — Mon, 22 Apr 2024 08:12:00 -0400

The SEC’s Division of Investment Management has announced its second annual Conference on Emerging Trends in Asset Management, which will bring together academics, asset management industry participants, and regulators. The remote conference will take place on Thursday, May 16, 2024, from 9:00 a.m. to 5:00 p.m. ET. The event is free and open to the public via live webcast on sec.gov. Registration for the conference will be open through Tuesday, May 14, 2024. Continue reading "SEC to Hold Second Annual Conference on Emerging Trends in Asset Management"

SEC Adopts Rule Improvements to Inhibit the Use of Misleading Investment Fund Names

nospam@example.com (LeAnn Dey) — Tue, 26 Sep 2023 07:30:00 -0400

On September 20th, the SEC adopted amendments to Rule 35d-1 under the Investment Company Names Rule of 2001 (Names Rule) to address certain broad categories of investment company names that may mislead investors about an investment company's investments and risks. For a business development company (BDC) or a registered investment company, the name of its firm is a key marketing tool for the fund, and it provides investors with decision-useful information about the fund. The amendments to the Names Rule, which were proposed in May 2022, are expected to help to ensure that the rule continues to meet its main objective of investor protection.

Continue reading "SEC Adopts Rule Improvements to Inhibit the Use of Misleading Investment Fund Names"

SEC’s Division of Investment Management to Hold Open Meeting

nospam@example.com (LeAnn Dey) — Thu, 14 Sep 2023 12:51:00 -0400

The SEC’s Division of Investment Management will hold an open meeting via webcast on sec.gov that will take place on Wednesday, September 20, 2023, at 10:00 a.m. ET. The meeting is free, open for the public to attend, and will address issues relating to misleading investment disclosures, among other topics. Continue reading "SEC’s Division of Investment Management to Hold Open Meeting "

SEC to Hold Open Meeting on Money Market Fund Reform and Broker-Dealer Reserve Requirements

nospam@example.com (LeAnn Dey) — Fri, 07 Jul 2023 16:19:00 -0400

SEC staff will hold an open meeting via webcast on sec.gov on Wednesday, July 12, 2023 at 10:00 a.m. EDT. The meeting is free and open for the public to attend. During the meeting, the Division of Investment Management will discuss Money Market Fund Reform; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A. Continue reading "SEC to Hold Open Meeting on Money Market Fund Reform and Broker-Dealer Reserve Requirements"

SEC Offers Free Investor Education Resources During Financial Capability Month

nospam@example.com (LeAnn Dey) — Fri, 07 Apr 2023 09:59:00 -0400

On April 3rd, the SEC’s Office of Investor Education and Advocacy (OIEA) announced that the theme for April’s National Financial Capability Month is “Investing For Everyone”. Throughout April, SEC leadership and staff will promote free tools and resources that will be available on investor.gov. The staff will also take part in investor education events nationwide that are geared toward students, underrepresented communities, older investors, and the military. Continue reading "SEC Offers Free Investor Education Resources During Financial Capability Month"