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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.

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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...
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35648

ICI Files Follow-Up Comment Letter on Proposed Amendments to FINRA Rule 2210

In late February, FINRA proposed to further amend Rule 2210. The amended proposal would permit a FINRA member to project performance or provide a targeted return with respect to a security or asset allocation or other investment strategy in an institutional communication solely to...
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34398

SEC Commissioner Uyeda Speech on Financial Regulation

​​​​​​​SEC Commissioner Mark Uyeda delivered remarks at a recent Cato Institute conference focusing on the rise of environmental, social, and governance (ESG) investing and the future of financial regulation. His remarks are summarized below.
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34399

SEC Commissioner Peirce Speech on Fund Proxy Voting and Engagement

​​​​​​​Commissioner Peirce recently delivered fund-related remarks, highlighting that each fund "is distinct from their investors, their asset managers, and the other funds in the same complex but that too often, funds' interests are treated as being identical to those of their...
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34168

SEC Proposes Amendments to the Fund Names Rule

On May 25, the Commission issued a proposal for amendments to Investment Company Act of 1940 Rule 35d-1, which regulates fund names (the "Names Rule"), as well as associated rules and forms. The proposal passed by a vote of three-to-one.