Registered Funds Archives

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

SEC Order Permits Alternative Mutual Fund to Suspend Redemptions for Inability to Value Assets and Strike a Net Asset Value

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

Tags: CPO, Mutual Funds, Registered Funds, Valuation

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

Tags: 12b-1 Fees, Conflicts, Disclosure, Registered Funds, Revenue Sharing, SEC Enforcement, Share Class Disclosure, Trading

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

Tags: Jay Clayton, Registered Funds

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

Tags: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management

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