SEC Names Rule
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SEC Staff publishes additional Names Rule FAQs
This article provides a brief historical background of the Names Rule and a summary of the current obligations of registered funds.
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SEC Staff proposes N-PORT amendments and extends compliance dates
If adopted, the amendments in the Proposal would remove Names Rule-related reporting requirements previously adopted in 2023.
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What’s in a name? Part 3: Future outlook
Three-part series exploring the regulation, practice, and future of ESG/sustainability-related fund names.
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What’s in a name? Part 2: Market practice
Three-part series exploring the regulation, practice, and future of ESG/sustainability-related fund names.
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Shorter corporate disclosure through rule changes is aim of SEC’s Atkins
The SEC chair outlined corporate disclosure reforms he has asked SEC staff to explore, such as on executive comp and executive personal security.
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SEC’s Names Rule gets updated compliance dates
Modification allows for compliance based on timing of annual fund disclosure and reporting obligations tied to fund’s fiscal year-end.
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In 2023, the future of compliance and regulation was just beginning
Our US editor Julie DiMauro reflects on the events of 2023, and what they suggest 2024 might bring.
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What’s in a name? The SEC adopts amendments to its 2-decades-old ‘Names Rule’
The changes take aim at the many funds that attract investor interest with names that might not accurately reflect their actual strategies.