end of each month. Such information shall be treated as a record under section 31(a)(1) of the Act and rule 31a-1(b) thereunder subject to the requirements of rule 31a-2(a)(2). Reports on Form N-PORT for each month in each fiscal quarter of a fund must be filed with the Commission no later than 60 days after the end of such fiscal quarter.
FREQUENTLY ASKED QUESTIONS ABOUT CLOSED-END FUNDS Most investors are familiar with mutual funds, or open-end registered investment companies. Closed-end funds, however, may be less familiar to investors. Here we address some of the differences between open-end and closed-end funds and answer
Act was adopted, this feature was recognized as unique to open-end investment companies, 3. and the Act’s classification of management investment companies as either open-end (“open-end funds” or “funds”)4 or closed-end, upon which several of the Act’s other provisions depend,
which provides useful information. Closed-end funds also file regular reports with the SEC. Closed-end fund reports are available from your Baird Financial Advisor or on the SEC’s EDGAR database at www.sec.gov. Characteristics of Interval Funds Some closed-end funds, known as interval funds, provide a daily NAV and can be purchased on a
Quarterly summary of current SEC activities
SEC proposal would amend offering rules for BDCs and closed-end funds The SEC proposed amending. certain of its rules to align the registration, communications and offering rules for busin ess development companies (BDCs) and registered closed-end funds with those that apply to operating companies. The proposal would allow BDCs and closed -end
that registered open-end funds, unit investment trusts (“UITs”), closed-end funds (including BDCs), exchange-traded funds (“ETFs”), and exchange-traded managed funds (“ETMFs”) could rely on the Proposed Rule as both Acquiring Funds and Acquired Funds. In addition to fund of funds arrangements that are currently permitted under
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