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 May 20, 2025
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 FundsJon Regan - Director, Center of Excellence May 8, 2025
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 April 21, 2025
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... Toppan Merrill February 12, 2025
SEC Releases Web Posting Requirement Guidelines 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 January 29, 2025
SEC Releases 2025 Names Rule FAQs On December 11, 2023, the SEC amended the Investment Company Names Rule to address certain broad categories of investment company... Guy Stanzione - Director, SEC Compliance Services January 21, 2025
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... Guy Stanzione - Director, SEC Compliance Services January 7, 2025
EDGAR Next: How to navigate the SEC rule and requirements On September 27, 2024, the SEC announced the EDGAR Next final rule. In this blog, Jennifer Froberg shares an overview... Jennifer Froberg - Sr SEC Product Specialist October 14, 2024
Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown [9:31] On The Dot (Episode 7) - A conversation with Guy Stanzione discussing the highs, the lows, and questions to be... Guy Stanzione - Director, SEC Compliance Services October 1, 2024
The impact of SEC rulemaking on Business Development Companies In March 2020, the SEC adopted rules modernizing disclosure and the offering process for Closed-End Funds (CEF) and Business Development... Guy Stanzione - Director, SEC Compliance Services August 21, 2024