Navigating the SEC’s Rulemakings: Names Rule Amendments

June 26, 2024
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In September 2023, the SEC adopted amendments to the rule regarding registered fund names, as well as certain forms and disclosure requirements. The amendments are intended to modernize and enhance the investor protections provided by Rule 35d-1 under the Investment Company Act of 1940 (Names Rule) given the important information that fund names can convey to investors and industry developments over the last two decades. This includes the growth of funds that incorporate sustainability criteria into their investment processes.

In this webinar, speakers will discuss emerging issues and interpretive questions under the amended Names Rule. The speakers will also discuss the implementation of the derivatives aspects of the amended Names Rule. This includes the identification of the derivatives instruments that a fund may include in its 80% investment policy basket, the valuation of derivatives instruments for purposes of determining compliance with a fund’s 80% investment policy and other interpretive challenges.

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