On February 12th, the SEC released a notice to N-CEN and N-PORT filers to remind them of the temporary final rule which requires funds in larger fund groups (for example, fund groups with $1 billion or more in net assets) to maintain in their records the information that is mandated to be included in Form N-PORT in lieu of filing this form via EDGAR. The temporary final rule applies until April 1, 2019. Of key importance, the information the funds in larger fund groups maintain in their records will be subject to examination by the Commission. New Forms N-PORT and N-CEN were adopted by the SEC on October 13th, 2016 in an effort to enhance transparency and modernize reporting requirements for registered investment companies.

On January 25th, the SEC’s Office of Minority and Women Inclusion (OMWI) introduced its Diversity Assessment Report for Entities Regulated by the SEC, which is designed to help regulated entities conduct voluntary self-assessments of diversity policies and practices.