11 Aug 2025
📊SEC Notice on Information Collection for Rule 139b Compliance
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 139b
Summary
The SEC announces a request for OMB review related to Rule 139b, which establishes compliance requirements for broker-dealers regarding the disclosure of standardized performance in investment fund research reports. This rule extends regulatory safe harbor provisions to investment funds while aiming to enhance transparency and reduce investor confusion.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The document discusses Rule 139b that outlines compliance and regulatory requirements for broker-dealers publishing investment fund research reports, specifically concerning performance information. This affects compliance costs and operational burdens for businesses in the financial sector, which must adapt to regulations ensuring transparency in communications.