Updates & Insights

Discussing Tailored Shareholder Report Common Issues

The Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) is responsible for reviewing fund disclosures. During the monitoring...

January 7, 2025 Guy Stanzione - Director, SEC Compliance Services

The Ultimate Guide to Tailored Shareholder Reports

Tailored shareholder reports (TSR) are required by the SEC in an attempt to modernize shareholder communications. The SEC will require...

July 9, 2024 Guy Stanzione - Director, SEC Compliance Services

SEC FAQs: TSR compliance date and Inline XBRL issues

With the rapidly approaching initial cycle for Tailored Shareholder Reports (TSR) just around the corner, the focus is shifting to...

June 24, 2024 Guy Stanzione - Director, SEC Compliance Services

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...

June 24, 2024 Guy Stanzione - Director, SEC Compliance Services

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...

March 29, 2024 Guy Stanzione - Director, SEC Compliance Services

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...

March 6, 2024 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...

January 31, 2024 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...

January 25, 2024 Guy Stanzione - Director, SEC Compliance Services

SEC publishes 5 TSR FAQs: what every filer needs to know

Learn more about the recently released TSR FAQs published by the SEC.

January 22, 2024 Guy Stanzione - Director, SEC Compliance 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...

January 8, 2024 Guy Stanzione - Director, SEC Compliance Services