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§ 270.35d-1 Investment company names. (a) Materially deceptive and misleading fund names. For purposes of section 35 (d) of the Act (15 U.S.C. 80a-34 (d)), a materially deceptive and misleading name of a fund includes: (1) Names suggesting guarantee or approval by the United States Government.
Frequently Asked Questions about Rule 35d-1 (Investment Company Names) The staff of the Division of Investment Management has prepared these responses to frequently asked questions about new rule 35d-1, which addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks. The adopting release for rule 35d ...
On September 20, 2023, the SEC issued a release (the "Release") adopting changes to the Names Rule, Rule 35d-1 under the 1940 Act (as amended, the "Final Rule"), and related form amendments. The Final Rule and the amendments substantially expand the applicability of current Rule 35d-1 and include new disclosure, compliance testing, reporting and recordkeeping requirements. Specifically ...
History and Overview of Fund Names Rule In 1996, Congress enacted the National Securities Markets Improvement Act ("NSMIA") which gave the SEC the authority to adopt rules to protect against "materially deceptive or misleading" fund names. Four years later, on January 17, 2001, the SEC adopted Rule 35d-1 under the Investment Company Act. Following that, the SEC staff FAQs to assist the ...
The Staff of the US Securities and Exchange Commission has issued FAQs regarding recent amendments to Rule 35d-1 (often referred to as the Names Rule) under the Investment Company Act of 1940. The amendments to the Names Rule, adopted by the SEC in 2023, greatly expand the universe of fund names subject to Rule 35d-1. The 2025 FAQs address interpretive questions raised by the registered funds ...
On September 20, 2023, the US Securities and Exchange Commission (the SEC) adopted amendments to Rule 35d-1 (the Names Rule or Rule) under the Investment Company Act of 1940, as amended (the 1940 Act), and made related form amendments (collectively, the Amendments).
§ 270.35d-1 Investment company names. (a) Materially deceptive and misleading fund names. For purposes of section 35 (d) of the Act (15 U.S.C. 80a-34 (d)), a materially deceptive and misleading name of a fund includes: (1) Names suggesting guarantee or approval by the United States Government.
The Securities and Exchange Commission recently adopted significant changes to Rule 35d-1 under the Investment Company Act of 1940 (Names Rule), as well as certain forms and disclosure requirements on September 20, 2023.
Compliance date: The compliance date for the amendments to rule 35d-1 under the Investment Company Act, and related prospectus disclosure and reporting requirements, adopted September 20, 2023 is extended to June 11, 2026 for fund groups with net assets of $1 billion or more as of the end of their most recent fiscal year and to December 11 ...
INTRODUCTION On September 20, 2023, the Securities and Exchange Commission (the "Commission") adopted amendments to modernize and enhance the protections that rule 35d-1 under the Investment Company Act of 1940 ("the names rule") provides. Rule 35d-1 addresses fund names that the Commission defines as materially misleading or deceptive. The final amendments broaden the scope of the ...