SEC FAQs: Electronic delivery of Shareholder Reports
With the rapidly approaching initial cycle for Tailored Shareholder Reports (TSR) just around the corner, the focus is shifting to...
Guy Stanzione - Director, SEC Compliance ServicesFinancial Services
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Guy Stanzione - Director, SEC Compliance Services
Registered Index Linked Annuities (RILA) expected to gain interest
A Registered Index Linked Annuity (RILA) is one of several types of annuity contracts offered by insurance companies. An investor’s...
Guy Stanzione - Director, SEC Compliance Services
What Fund Managers Need to Know About SEC Form N-PX
In a blog posted on April 30, 2024, Cooley discusses how, beginning August 2024, institutional investment managers that file on...
SEC FAQs: Binding allowance and website availability for Variable Insurance Products
The FAQ provided needed clarity about document assembly and binding, but left uncertainty about the website hosting requirement of underlying...
Guy Stanzione - Director, SEC Compliance Services
Podcast: TSR ready. Are you absolutely sure? Tackling the data and content management challenges. [9:12]
A conversation with Guy Stanzione about the SEC Tailored Shareholder Reports mandate and tackling the data and content management challenges...
Guy Stanzione - Director, SEC Compliance Services
Streamlined Growth: Toppan Merrill invests heavily in technology and talent in Sartell
Recently Enterprise Minnesota visited to learn more about our Sartell, MN operations and why in an era in which printing...
SEC FAQs: Form N-CSR and website availability requirements
On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored...
Guy Stanzione - Director, SEC Compliance Services
SEC FAQ: Binding individual shareholder reports of multiple funds addressed
On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored...
Guy Stanzione - Director, SEC Compliance Services
Podcast: TSR ready. Are you absolutely sure? Tackling the SEC filing challenges. [9:01]
On The Dot (Episode 5) - A conversation with Guy Stanzione and Gordon Ruckdeschel about the SEC Tailored Shareholder Reports...
Guy Stanzione - Director, SEC Compliance Services
Gordon Ruckdeschel - Vice President, Compliance Services and Funds
SEC publishes 5 TSR FAQs: what every filer needs to know
Learn more about the recently released TSR FAQs published by the SEC.
Guy Stanzione - Director, SEC Compliance Services