Financial Services

The SEC modernizes Form N-PX to require Mutual Funds to report proxy votes in XML

Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds....

Jennifer Froberg - Sr SEC Product Specialist

August 11, 2023

How the new SEC Tailored Shareholder Report rule impacts your EDGAR filing

The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes like...

Guy Stanzione - Director, SEC Compliance Services

May 10, 2023

Tailored Shareholder Reports: Managing the SEC website hosting requirements

In recent years the SEC has been focused on modernization and digital transformation, with the goals of:  1. Transparency and...

Guy Stanzione - Director, SEC Compliance Services

May 2, 2023

SEC mandates iXBRL tagging of actively sold variable products. The compliance requirement details.

Effective Jan. 1, 2023, Variable Product issuers of actively sold contracts are now required to file registration statements and definitive...

Guy Stanzione - Director, SEC Compliance Services

February 13, 2023

SEC updates EDGAR on Jan. 3, 2023, for Form 13F rule changes

On Jan. 3, 2023, the SEC updated the EDGAR system to implement changes related to Form 13F, which is filed...

Jennifer Froberg - Sr SEC Product Specialist

January 4, 2023

6 ways to boost the accessibility for your financial institution

People with disabilities deserve digital access to their financial institution's information. Just as financial institutions added Braille to ATMs and...

Toppan Merrill

November 22, 2022

SEC modernizes investor communication with Tailored Shareholder Reports (including iXBRL)

On October 26, 2022, by a vote of 5-0, the SEC adopted amendments to the requirements for Annual Report and...

Guy Stanzione - Director, SEC Compliance Services

November 17, 2022

Inline XBRL becomes a reality for variable product issuers

Effective January 1, 2023, Variable Product issuers of actively sold contracts are required to file registration statements and definitive updates...

Guy Stanzione - Director, SEC Compliance Services

September 27, 2022

Inline XBRL taxonomy for closed-end funds (CEFs) and business development companies (BDCs)

In 2020, the SEC adopted a final rule, Securities Offering Reform for Closed-End Investment Companies, modernizing disclosure and the offering...

Jennifer Froberg - Sr SEC Product Specialist

May 20, 2022

How a Strategic Communications Plan Impacts Customer Trust and Loyalty in Financial Services (Part 2) 

It is crucial for financial services firms to meet customer expectations when it comes to communications to establish trust, build...

Toppan Merrill

February 1, 2022