Understanding the SEC's Amended Names Rule

On this episode, Investment Management Group members Kathryn Maass and Matt Stuart join James Borrasso to discuss the most recent amendments to the SEC's Names Rule. The SEC's revamped Names Rule is shaking up the fund industry. Now, funds must ensure at least 80% of assets are invested in a manner consistent with the fund's name. Quarterly reviews, stricter disclosure, and expanded record-keeping are in; compliance deadlines are looming. Fund managers need to audit names, update policies, and stay alert for more SEC guidance. The message: get ready, or risk falling behind.