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Investment Company EDGAR Filers Must Have Series and Class Identifiers by February 6

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  • Baker, John
    The Securities and Exchange Commission has issued a notice reminding investment company filers that, starting February 6, they must include their series and
    Message 1 of 1 , Feb 2, 2006
      The Securities and Exchange Commission has issued a notice
      reminding investment company filers that, starting February 6, they must
      include their series and classes (or contracts) identifiers in those
      EDGAR submissions identified in the EDGAR Filer Manual. All open-end
      management investment companies, including investment companies that are
      not organized as series companies and that have only one class, are
      required to obtain series and class identifiers. The SEC has also
      adopted revisions to the EDGAR Filer Manual to reflect the necessary
      updates to the EDGAR system. Release Nos. 33-8656, 34-53186, 35-28081,
      39-2441, IC-27219, 71 Fed. Reg. 5596 (Jan. 27, 2006). The SEC notice is
      available online at

      http://www.sec.gov/info/edgar/ednews/seriesclassnotice.htm

      For my prior post on the adoption of these requirements, see

      http://groups.yahoo.com/group/FundLaw/message/1025


      John M. Baker <JMB@...>
      Stradley Ronon Stevens & Young, LLP http://www.stradley.com
      1220 19th Street NW, Suite 600
      Washington DC 20036
      202.419.8413
      202.822.0140 fax
      FundLaw Listowner http://groups.yahoo.com/group/fundlaw
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