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SEC Delays Form N-PORT Filing Requirements Related temporary final rule adopted

KENNETH S. GERSTEIN, JOHN J. MAHON and KAREN SPIEGEL, SCHULTE ROTH & ZABEL

COMMENTARY

On Dec. 8, 2017, the Securities and Exchange Commission (SEC) issued a release delaying the dates by which certain registered funds must begin filing new Form N-PORT with the SEC (Release).1 The SEC took this action to provide time to complete and review modifications to its Electronic Data Gathering, Analysis, and Retrieval system (EDGAR) that “are necessary to process these filings effectively and securely, given their frequency, volume, and complexity, as well as the nonpublic nature of much of the data.” The SEC also adopted a temporary final rule, Rule 30b1-9(T) under the Investment Company Act of 1940 (1940 Act), under which funds must maintain information required by Form N-PORT commencing on the compliance dates applicable to them for the reporting of such information on Form N-PORT, notwithstanding the delayed dates as of which their filings of the form are now required to begin. In addition, the Release delays the effective date for the rescission of Form N-Q in view of the delay of the dates as of which funds must commence filing Form N-PORT.

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