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SEC RIN: 3235-AM52 Publication ID: Fall 2021 
Title: Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and ETFs; Fee Information in Investment Company Ads 
Abstract:

The Division is considering recommending that the Commission adopt a new streamlined shareholder report under the Investment Company Act of 1940. The Division is also considering recommending that the Commission adopt rule and form amendments to improve and modernize certain aspects of the current disclosure framework under the Investment Company Act.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 77e    15 U.S.C. 77g    15 U.S.C. 77j    15 U.S.C.77s    15 U.S.C. 78c(b)    15 U.S.C. 77f    15 U.S.C. 78j    15 U.S.C.78m    15 U.S.C. 78n    15 U.S.C. 78o    15 U.S.C. 78mm    15 U.S.C. 80a-6    15 U.S.C.80a-8    15 U.S.C. 80a-20    15 U.S.C. 80a-24    15 U.S.C. 80a-29    15 U.S.C. 80a-37    44 U.S.C. 3506    44 U.S.C. 3507   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/05/2020  85 FR 70716   
NPRM Comment Period End  01/04/2021 
Final Action  10/00/2022 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Michael Kosoff
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6754
Email: kosoffm@sec.gov