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Investment Company Cross Trading
Proposed rule · Federal Register document 2026-21037
- Published
- 10/15/2026
- Comments due
- 12/14/2026
- 46 days left
- Effective
- 10/15/2026
- Pages
- 56
Summary
Proposed rule.
The Securities and Exchange Commission (the "Commission") is proposing to amend the rule under the Investment Company Act of 1940 (the "Investment Company Act") that permits securities transactions between a registered investment company and certain affiliates (referred to as "cross trades"), subject to conditions. The proposed amendments are designed to expand the scope of securities that are eligible for cross trading, modernize the rule's conditions, and enhance investor protection. The Commission also proposes to require aggregated reporting of trading activity and cross trades in Form N- PORT and Form N-MFP.
Details
- Type
- Proposed rule
- Docket
- Release No. IC-36358; File No. S7-2026-36
- Regulation ID (RIN)
- 3235-AN45
- CFR parts
- 17 CFR 270, 17 CFR 274
- Significant under E.O. 12866
- Yes
- Topics
- Investment companies, Reporting and recordkeeping requirements, Securities
This page summarizes a Federal Register document. Only the official Federal Register text has legal effect. Comment deadlines can be extended or reopened by a later notice.
Source: Office of the Federal Register, via the Federal Register API · Last updated 10/15/2026