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Expert Analysis

New SEC Staff Guidance Could Leave Mutual Funds In A Bind

By Gretchen Passe Roin and Seth Davis ( April 17, 2019, 3:56 PM EDT) -- In a footnote to an April 2, 2019, U.S. Securities and Exchange Commission staff guidance,[1] the staff requested that mutual funds file a delaying amendment to postpone the effective date of their registration statements if a fund is unable to submit responses to staff comments at least five business days before automatic effectiveness.[2] While the spirit of the guidance seems geared more towards new registrants, its language nevertheless applies to existing funds that are updating current registration statements....

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