Financial Services

Podcast: TSR ready. Are you absolutely sure? Tackling the print and distribution challenges. [9:31]

On The Dot (Episode 4) - A conversation with Guy Stanzione about the SEC Tailored Shareholder Reports mandate and tackling...

Guy Stanzione - Director, SEC Compliance Services

January 8, 2024

Podcast: Why Every SEC Filer Needs to Prepare for EDGAR Next Now

On The Dot (Episode 3) - A conversation with Gordon Ruckdeschel about the EDGAR Next proposal and the steps SEC...

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

January 4, 2024

Podcast: What are the early benefits of EDGAR Next?

Episode 2 - A conversation with Jennifer Froberg about the SEC’s EDGAR Next proposal designed to improve EDGAR filing access,...

Jennifer Froberg - Sr SEC Product Specialist

December 8, 2023

New N-PX reporting requirements for 13F filers (Institutional Investment Managers)

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

September 5, 2023

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