SEC’s Division of Investment Management Issues Information Update Regarding Updated Forms

February 15, 2019

On February 1, 2019, the staff of the SEC’s Division of Investment Management issued an Information Update to indicate that several forms (e.g., Forms N-1A, N-2, N-14 and N-CSR) on the SEC website have been updated to reflect amendments recently adopted by the SEC. Forms have been amended in connection with recent SEC initiatives, including the Investment Company Reporting Modernization initiative and the Investment Company Liquidity Risk Management Programs initiative.


Compliance, Exchange-Traded Funds (ETFs), Investment Advisers, Investment Companies, Miscellaneous, Mutual Funds, Regulatory