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 FundsFinancial Services
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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
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 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
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
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
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
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
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