Tag: Registered Funds
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
Tags: Private Funds, Registered Funds, Retail Alternative Funds
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
Tags: Investment Company Act, Private Funds, Registered Funds
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
Tags: ESG, Registered Funds
The SEC has approved an order from an alternative registered investment company to suspend redemptions due to the fund’s inability to value swaps in the fund’s portfolio.
March 01, 2021
Tags: CPO, Mutual Funds, Registered Funds, Valuation
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt
The SEC has fined an Iowa-based dual-registrant over $20 million in connection with “disclosure failures and misleading statements to clients” arising from share class selection, revenue sharing, and compensation practices relating to illiquid alternative investments.
December 28, 2020
Tags: 12b-1 Fees, Conflicts, Disclosure, Registered Funds, Revenue Sharing, SEC Enforcement, Share Class Disclosure, Trading
SEC IM Director Dalia Blass Reflects on Division’s Work
In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s hard work and accomplishments throughout the year.
November 17, 2020
Tags: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management
SEC Adopts Reforms for Closed-End Fund and BDC Offerings
The SEC has adopted rules that will streamline the registration, communications, and offering processes for registered closed-end funds and BDCs.
April 17, 2020
Tags: Jay Clayton, Registered Funds
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
