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Understanding the SEC's Proposed Modernized Fund Shareholder Reports and Disclosures

KL Gates Hosted Event
Date: 2, 17, and 29 September 2020
Location: via Webinar

The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications by investment companies registered on Form N-1A under the Investment Company Act of 1940 based on the premise that new and existing shareholders require different information. Details of the comprehensive restructuring of the prospectus and shareholder report regulatory scheme are discussed in a 646 page SEC release that raises many questions. The short 60-day comment period suggests the SEC has a goal of adopting the proposals before Chair Jay Clayton leaves the SEC, which he has announced will be at the end of the year.

We are hosting an interactive series of webinars where K&L Gates lawyers, well versed on these issues, will delve into the proposed changes and their implications for our clients and contacts. The first session will be a general overview of the rule proposal and the second session will focus on areas ripe for commenting. 

If you have suggestions for a topic you would like us to cover, please feel free to let us know when you register.

Session 1: What You Need to Know Most About the SEC’s New Rule Proposal to Modernize Fund Shareholder Reports and Disclosures

2 September 2020
2:30 - 3:30 P.M. ET

Speakers:
Ndenisarya M. Bregasi, Partner
Abigail P. Hemnes, Partner
Clifford J. Alexander, Partner
Steven B. Levine, Associate

Click here to register for Session 1.

Session 2: Let the Comments Roll! Key Aspects of the SEC's New Rule Proposal to Modernize Fund Shareholder Reports and Disclosures that Funds Will Want to Comment On

17 September 2020
3:00 - 4:00 P.M. ET

Speakers:
Kathy Kresch Ingber, Partner
Mark P. Goshko, Partner
Abigail P. Hemnes, Partner
Cal J. Gilmartin, Associate

Click here to register for Session 2.

Session 3: What You Didn’t Know Was in There! A Deeper Understanding of the SEC’s New Rule Proposal to Modernize Fund Shareholder Reports and Disclosures

29 September 2020
2:30 - 3:30 P.M. ET

Speakers:
TBD

Click here to register for Session 3.

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