Items tagged with "investment management"

SEC Requests Input on Data Collection of Form N-MFP

The Securities and Exchange Commission (SEC) published to the Federal Register a notice of information collection for the Form N-MFP, the Monthly Report for Money Market Funds. Today this form, which details disclosure items related to portfolio holdings, is required to be reported in XML format. We believe that Form N-MFP which contains weekly facts […more]


SEC Proposes Rule on Investment Company Names

The Securities and Exchange Commission (SEC) published a rule proposal on Investment Company Names, which aims to address investment company names that are likely to mislead investors about an investment company’s investments and risks. The proposed amendments to this rule are designed to increase investor protection by improving and clarifying the requirement for certain funds to […more]


Mastering New SEC XBRL Requirements for Investment Management Filers (Session 1)

3:00 PM ET Tuesday, May 24, 2022
XBRL US Webinar
Watch / listen to replay

Attend this first session (of 2) for a review of what needs to be tagged, where to find (and how to use) samples provided by the SEC, and learn from a discussion of where facts that must be tagged appear in your own filings.


Mastering New SEC XBRL Requirements for Investment Management Filers (Session 2)

3:00 PM ET Tuesday, June 7, 2022
XBRL US Webinar
Watch / listen to replay

Attend session 2 to learn how the new requirements will change filers current workflow, and issues to consider during the transition; it will also address SEC staff interpretations and FAQs that can be used as resources.


XBRL US Comments on Cybersecurity Risk Management for Investment Advisers

XBRL US submitted a comment letter to the Securities and Exchange Commission (SEC) in response to their rule proposal on Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies. In our letter, we agreed with the Commission proposal that cybersecurity incident data be reported in Inline XBRL format to increase the […more]


SEC Proposes XML in Short Position and Short Activity Reporting by IM

The Securities and Exchange Commission (SEC) published the rule proposal, Short Position and Short Activity Reporting by Institutional Investment Managers which aims to provider greater transparency through the publication of short sale related data to investors and other market participants. If passed as proposed, institutional investment managers that meet or exceed a specified reporting threshold […more]


SEC Proposes Money Market Reforms

The Securities and Exchange Commission (SEC) published a rule proposal  designed to reform money market disclosures which requires Form N-CR to be prepared in a custom XML data language. The Commission noted that they opted not to require Inline XBRL, “Due to the number of individual transactions that might be reported as Form N-CR data […more]


SEC Proposes Rule 10b5-1 and Insider Trading

The Securities and Exchange Commission (SEC) published a proposal on Rule 10b5-1 and Insider Trading.  The proposed rule would require certain amendments to Exchange Act Rule 10b5-1(c ) (1) to address concerns about abuse of the rule and proposing new disclosure requirements regarding insider trading policies. As written, the rule would require an issuer to […more]


XBRL US Comments on SEC Proposal on Enhanced Reporting of Proxy Votes

XBRL US submitted a comment letter to the Securities and Exchange Commission (SEC) regarding its proposed rule Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers. The rule proposes that fund reporting of proxy votes on Form N-PX be enhanced by adding additional disclosures, and […more]


XBRL US Comment on SEC Closed-End Fund Taxonomy

XBRL US submitted a comment letter in response to the Securities and Exchange Commission’s Request for Comment on the 2021 Q4 release draft which updates the Closed-End Fund (CEF) from the previous version that was out for public review in April 2020. Read the release announcement. Read the XBRL US letter: XBRL US Comment on Draft […more]