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Disclosure Working Group

The Disclosure Working Group provides a forum for members to discuss disclosure-related issues for all types of US registered funds, including comments received from SEC staff during the disclosure review process.
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Disclosure

The SEC is continuously active in examining and improving fund disclosures through rulemakings, disclosure review, and other initiatives. The ICI Disclosure Working Group provides a forum for members to discuss disclosure-related issues for all types of US registered funds, including problematic comments received from SEC staff during the disclosure review process, as well as SEC rule proposals and final rules impacting fund disclosures.

ICI Default BG
Memo#
36034

ICI Submits Letter Requesting Changes to the SEC's Form N-PORT Amendments

Earlier today, ICI submitted the attached letter to Acting SEC Chairman Mark T. Uyeda requesting that the Commission further amend the Form N-PORT amendments adopted in August 2024 to: (i) eliminate the publication of each monthly Form N-PORT (including a fund's full portfolio...
ICI Default BG
Memo#
35987

SEC Staff Issues Updated Names Rule FAQs

In September 2023, the Securities and Exchange Commission adopted amendments to Rule 35d-1 under the Investment Company Act of 1940. The Names Rule was initially adopted in 2001, and, at that time, the SEC staff issued related guidance in the form of frequently asked questions. In the...