Podcast: ETF issuer interest remains high [14:04]
On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors...
Guy Stanzione - Director, SEC Compliance ServicesFinancial Services
Articles
Guy Stanzione - Director, SEC Compliance Services
ETF issuer interest remains high even as challenges persist
Exchange Traded Funds (ETFs) have been a hot topic for years, with the discussion accelerated by the interest to expand...
Guy Stanzione - Director, SEC Compliance Services
Securities Act of 1940: Rules and requirements summary
The investment company industry relies on clear, consistent disclosures to meet the ’40 Act regulatory requirements. This guide outlines the...
Guy Stanzione - Director, SEC Compliance Services
Navigating the compliance landscape for Investment Management Companies
The Investment Company Act of 1940 requires mutual funds to submit prospectuses, shareholder reports, and Form N-PX filings with the...
RILA Lessons Learned: Closing the Books on the Initial N-4 Conversion Cycle
After the conclusion of the initial Form N-4 RILA conversion cycle, topics have emerged from issuers converted prior the May...
Guy Stanzione - Director, SEC Compliance Services
EDGAR Next for ’40 Act filers
On Sept. 27, 2024, the SEC announced the EDGAR Next final rule which significantly impacts all SEC filers. Filers began...
Gordon Ruckdeschel - Vice President, Compliance Services and Funds
Podcast: Simplifying EDGAR Next enrollment and delegation [18:34]
On The Dot (Episode 8) - A conversation with Jennifer Froberg, Gordon Ruckdeschel and Jon Regan discussing the EDGAR Next...
Jennifer Froberg - Sr SEC Product SpecialistGordon Ruckdeschel - Vice President, Compliance Services and Funds
Jon Regan - Director, Center of Excellence
Lead the pack: Don’t underestimate the power of accessibility
When it comes to communicating with your customers, don’t underestimate the power of accessibility. It can enhance your brand and...
Gary Iverson - Global Composition and Accessibility Director
EDGAR Next Frequently Asked Questions
Filers can begin EDGAR Next enrollment on March 24, 2025. The deadline to enroll and comply with the mandate is...
SEC Releases ADI Addressing Web Posting Guidelines in Support Summary Prospectus Rule 498 and Rule 498A
On January 17, 2025, the SEC’s Division of Investment Management released an Accounting and Disclosure Information (ADI) providing web posting...
Guy Stanzione - Director, SEC Compliance Services