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SEC modifies timing for non-public fund reports

Joe Mont | February 28, 2019

With an eye toward improving data management and cyber-security oversight, the Securities and Exchange Commission this week approved an interim rule that modifies the submission deadlines for registered investment companies filing non-public monthly reports using the specially created Form N-PORT. 

Form N-PORT is a relatively new form for reporting both public and non-public fund portfolio holdings to the Commission in a structured data format. As a result of the changes, rather than filing non-public monthly reports with the Commission within 30 days after the end of each month, funds will be required to maintain the relevant information in their records and file three monthly reports no later than 60 days after the end of each fiscal quarter.  

The non-public monthly reports on Form N-PORT for the first and second months of the fiscal quarter will remain non-public; the monthly report for the third...

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