The SEC adopted a new monthly portfolio reporting form, Form N-PORT, to be used by registered funds other than money market funds and small business investment companies to report monthly data to the SEC on a quarterly basis within60 days after fiscal quarter end. In addition, the Commission amended rule 30b1-9 and Form N-PORT to require funds, no later than 30 days after the end of each month, to maintain in their records the information that is required to be included in Form N-PORT. The monthly report on Form N-PORT for the third month of the quarter will continue to become publicly available except the items identified in General Instruction F of Form N-PORT. As a result of these amendments, funds are required to file a report on Form N-PORT for each month in the fundвЂ™s fiscal quarter not later than 60 days after the end of that fiscal quarter. On February 27, 2019, the Commission adopted interim final rule and form amendments that modified the timing requirements for filing monthly reports on Form N-PORT. Smaller fund groups are required to begin submitting reports on Form N-PORT by April 30, 2020. On December 8, 2017, the SEC adopted a temporary final rule that requires funds in larger fund groups to maintain in their records the information that is required to be included in Form N-PORT, in lieu of filing reports with the Commission, until April 2019. The rules also enable the SEC to more effectively collect and use data, as well as enhance its ability to conduct more targeted examinations, which would ultimately benefit investors.

The new rules improve the access and quality of information available to the SEC and investors about fund investments. On October 13, 2016, the SEC adopted new rules and forms, as well as amendments to existing rules and forms to enhance transparency and modernize reporting requirements for registered investment companies.

Five Questions to Ask Before You InvestДЄ Small Entity Compliance Guide Introduction.

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