Financial 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

August 21, 2024

Perspective from when airport systems went down and confusion unfolded. Life’s twists and turns can teach us valuable ADA lessons.

Understanding the importance of accessibility will help benefit your investors and customers. Learn how the airline's software malfunction can show...

Gary Iverson

August 15, 2024

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...

Guy Stanzione - Director, SEC Compliance Services

July 9, 2024

SEC FAQs: 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...

Guy Stanzione - Director, SEC Compliance Services

June 24, 2024

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...

Guy Stanzione - Director, SEC Compliance Services

June 24, 2024

Registered Index Linked Annuities (RILA) expected to gain interest

A Registered Index Linked Annuity (RILA) is one of several types of annuity contracts offered by insurance companies. An investor’s...

Guy Stanzione - Director, SEC Compliance Services

June 20, 2024

What Fund Managers Need to Know About SEC Form N-PX

In a blog posted on April 30, 2024, Cooley discusses how, beginning August 2024, institutional investment managers that file on...

Cooley LLP

May 6, 2024

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...

Guy Stanzione - Director, SEC Compliance Services

March 29, 2024

Podcast: TSR ready. Are you absolutely sure? Tackling the data and content management challenges. [9:12]

A conversation with Guy Stanzione about the SEC Tailored Shareholder Reports mandate and tackling the data and content management challenges...

Guy Stanzione - Director, SEC Compliance Services

March 8, 2024

Streamlined Growth: Toppan Merrill invests heavily in technology and talent in Sartell

Recently Enterprise Minnesota visited to learn more about our Sartell, MN operations and why in an era in which printing...

Toppan Merrill

March 7, 2024