United States:
SEC Reminds Registrants Of N-PORT And N-CEN Filing Requirements
13 November 2019
Cadwalader, Wickersham & Taft LLP
To print this article, all you need is to be registered or login on Mondaq.com.
The SEC reminded registered investment companies of
requirements concerning filing monthly portfolio investment reports
("N-PORT") and annual reports ("N-CEN").
The SEC reminded firms that:
- N-PORT filers must attach the
N-PORT-EX to the N-PORT-P submission with a period date post-August
31, 2019;
- N-CEN filers must enter a percentage
value instead of expressing the value as a decimal;
- guidance regarding Series and Class
Identifier requirements may be referenced in the Series and Class ID FAQs; and
- firms may file annual reports
electronically through the EDGAR system.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
POPULAR ARTICLES ON: Corporate/Commercial Law from United States
Corporate Transparency Act Update
Shulman Rogers
With the arrival of spring and the first set of Corporate Transparency Act (CTA) filing deadlines behind us, it is a good time for an update on lessons learned from the initial filings.
Compliance Isn't The Only 'AI Washing' Risk
Bracewell
Companies are rapidly adopting artificial intelligence technologies, and both regulators and private plaintiffs have set their sights on "AI washing," where businesses tout AI capabilities that do not exist.