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
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 Order Permits Alternative Mutual Fund to Suspend Redemptions for Inability to Value Assets and Strike a Net Asset Value March 1, 2021 The SEC has approved an order...
March 01, 2021
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt December 28, 2020 The SEC has fined an Iowa-based dual-registrant over $20 million in connection...
December 28, 2020
SEC IM Director Dalia Blass Reflects on Division’s Work
SEC IM Director Dalia Blass Reflects on Division’s Work November 17, 2020 In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s...
November 17, 2020
SEC Adopts Reforms for Closed-End Fund and BDC Offerings
SEC Adopts Reforms for Closed-End Fund and BDC Offerings April 17, 2020 The SEC has adopted rules that will streamline the registration, communications, and offering processes for registered closed-end...
April 17, 2020
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