Names Rule and Form N-PORT: SEC Issues FAQs, Proposes Changes
The SEC has proposed amendments to the Form N-Port reporting requirements, extended the compliance deadline for the mutual fund Names Rule related reporting, and issued four long awaited FAQs regarding the Names Rule.
February 20, 2026
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
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
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