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SEC Investment Company Reporting Modernization Help Sheet

| November 07, 2016

On October 13, 2016, the SEC voted to adopt changes to modernize and enhance the reporting and disclosure of information by registered investment companies and to enhance liquidity risk management by open-end mutual funds and Exchange Traded Funds (ETFs). The new rules are part of the Commission's initiative to enhance its monitoring and regulation of the asset management industry and are intended to enhance the quality of information available to investors and allow the Commission to more effectively collect and use data reports by the funds.

Merrill SEC Investment Help Sheet

The reporting modernization rules will enhance data reporting for mutual funds, ETFs and other registered investment companies and will require registered funds to file new form types, Form N-PORT and Form N-CEN, with the SEC.

  • Form N-PORT, requires funds, other than money market funds to provide portfolio-wide and position-level holdings data to the Commission on a monthly basis.
  • Form N-CEN, requires funds to report certain census-type information to the Commission on an annual basis. The form would streamline and update information to reflect current information, such as requiring more information on ETFs and securities lending.

Learn about the new requirements for Liquidity Risk Management Programs and the impacts these changes will have on Swing Pricing.

Download the Help Sheet!

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