Temporary Final Rules
- SEC Press Release on Interim Final Rule on Amendments to the Timing Requirements for Filing Reports on Form N-PORT Feb 27 2019”
Feb 27, 2019
- SEC Interim Final Rule on Amendments to the Timing Requirements for Filing Reports on Form N-PORT
Feb 27, 2019
- SEC Press Release on Interim Final Rule on Investment Company Liquidity Risk Management Programs (pdf)
Feb 21, 2018
- SEC Interim Final Rule on Investment Company Liquidity Risk Management Programs
Feb 21, 2018
- SEC Press Release on Temporary Final Rule
Dec 8, 2017
- SEC Temporary Final Rule (pdf)
Dec 8, 2017
FAQs
SEC Staff FAQs
- SEC Staff-Issued FAQs (as Updated on November 14, 2018)
November 14, 2018
Draft FAQs Submitted to SEC Staff
- Additional Proposed FAQs Submitted to SEC Staff (pdf)
Nov 6, 2018
- Additional Proposed FAQs Submitted to SEC Staff (pdf)
Nov 6, 2017
- Additional Proposed FAQs Submitted to SEC Staff (pdf)
Jun 27, 2017
- Additional Proposed FAQs Submitted to SEC Staff (pdf)
Mar 23, 2017
- Proposed FAQs Submitted to SEC Staff (pdf)
Mar 9, 2017
Documents of ICI Enhanced Fund Reporting Working Group
AICPA Materials Relating to Regulation S-X
Conference Materials
ICI has hosted events that have addressed this topic in depth, with diverse panels featuring SEC staff. Please find more information on these conferences and webinars below.
Mutual Funds and Investment Management Conference
- Slides: “Are You Ready for Some Fun(d Reporting)? Implementing the SEC’s New Reporting Modernization Rules” (pdf)
Mar 14, 2017
- Video: "Are You Ready for Some Fun(d Reporting)? Implementing the SEC’s New Reporting Modernization Rules"
Mar 14, 2017
- 2017 Mutual Funds and Investment Management Conference
Mar 12, 2017
- Additional Materials—Simpson Thacher: Introducing the Investment Company Risk Assessment Tool: SEC Use of Big Data (pdf)
Feb 1, 2017
Securities Law Developments Conference
- Event and Program Information: Securities Law Developments Conference
Dec 6, 2016
- Audio: "Spotlight on the Fund Industry: Will It Dim in 2017?"
Dec 6, 2016
- Slides: "Spotlight on the Fund Industry: Will It Dim in 2017?" (pdf)
Dec 6, 2016
- Slides: "Big Data: Are You Ready for the SEC’s New Fund Reporting Rules?" (pdf)
Dec 6, 2016
- Additional Materials—K&L Gates Legal Insight: SEC Issues Investment Company Reporting Modernization Rules (pdf)
Dec 6, 2016
- Additional Materials—K&L Gates Outline of the SEC’s Investment Company Reporting Modernization Rules (pdf)
Dec 6, 2016
- Audio: "Big Data: Are You Ready for the SEC’s New Fund Reporting Rules?"
Dec 6, 2016
Special Conference: The SEC’s New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry?
- Audio: "Overview: How Has the SEC Transformed Fund Reporting and Liquidity Risk Management?"
Nov 17, 2016
- Audio: "Preparing for a ‘Modernized’ World: Implementing the SEC’s New Fund Reporting Rules"
Nov 17, 2016
- Slides: "Preparing for a 'Modernized' World: Implementing the SEC’s New Fund Reporting Rules" (pdf)
Nov 17, 2016
- Event and Program Information: The SEC’s New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry?
Nov 17, 2016
- Slides: "Overview: How Has the SEC Transformed Fund Reporting and Liquidity Risk Management?" (pdf)
Nov 17, 2016