SEC Issues Guidance on Disclosure and Filing Requirements for Closed-End Funds of Private Funds
SEC Staff issues clarifying guidance for registered closed-end funds that invest in private funds related to registration statement disclosure and amendments under the Investment Company Act.
August 25, 2025
Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 2025
SEC Extends Compliance Date for Fund Names Rule
The SEC announced a six-month extension of the compliance dates for the Investment Company Act amended “Names Rule” which addresses fund names that may mislead investors.
March 17, 2025
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
SEC Adopts Amendments to the Investment Company Act Names Rule
The SEC has adopted amendments to the Investment Company Act Names Rule to address its concerns about fund names that are likely to mislead investors about a fund’s investments and risks.
September 21, 2023
SEC Adopts Money Market Fund Rule Without Swing Pricing
The SEC amends money market fund rule to remove redemption gates and increase minimum portfolio liquidity requirements; does not require swing pricing but requires new liquidity fee for institutional prime and institutional tax-exempt money market funds.
July 21, 2023
SEC Announces First Enforcement Action Under Fund Liquidity Rule
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
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