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Registered Funds and the New Names Rule Proposals: What You Need to Know and Why You Need to Comment

KL Gates Hosted Event
Date: 21 June 2022
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This webinar addresses the SEC's recently proposed amendments to Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940, as amended. The Proposed Amendments would significantly expand the scope of terms that the SEC considers materially deceptive and misleading in a registered investment company's name without a corresponding policy to invest at least 80% of the fund's assets in the manner suggested by the fund's name (an 80% Policy). 

This webinar addresses all key aspects of the proposed amendments to the Names Rule and key areas that fund companies should consider for comment letters, including:

  • Expanded application to terms denoting an investment strategy;
  • Narrowed length of time and circumstances in which a fund may depart from its 80% Policy; 
  • Stricter standards for how a fund must calculate derivatives exposures; and
  • Additional new limits and requirements being proposed.

  • Fatima Sulaiman
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