The January 2019 release (“2019 Amendments”) is available at:

The December 2017 release (“2017 Amendments”) is available at. The October 2016 adopting release for the investment company reporting modernization reforms (“Adopting Release”) is available at. These FAQs, like all staff guidance, have no legal force or effect: they do not alter or amend applicable law, and they create no new or additional obligations for any person. They are not a rule, regulation, or statement of the Commission, and the Commission has neither approved nor disapproved these FAQs or the answers to these FAQs. These responses represent the views of the staff of the Division of Investment Management.

The staff expects to update this document from time to time to include responses to additional questions. The staff of the Division of Investment Management has prepared the following responses to questions related to the investment company reporting modernization reforms adopted in October 2016 and revised in December 2017 and January 2019.

Five Questions to Ask Before You Invest.

Nq mod change list