Financial Services

Tailored Shareholder Reports: 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

Tailored Shareholder Reports FAQs released: 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...

Guy Stanzione - Director, SEC Compliance Services

March 6, 2024

Tailored Shareholder Reports FAQs released: 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...

Guy Stanzione - Director, SEC Compliance Services

January 31, 2024

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...

Guy Stanzione - Director, SEC Compliance Services

January 25, 2024

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

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

Guy Stanzione - Director, SEC Compliance Services

January 22, 2024

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...

Guy Stanzione - Director, SEC Compliance Services

January 8, 2024

EDGAR Next: How to navigate the SEC rule and requirements

Learn about the EDGAR Next proposal and the impact on SEC filers once the final rule and requirements are adopted.

Jennifer Froberg - Sr SEC Product Specialist

January 4, 2024

Podcast: Why Every SEC Filer Needs to Prepare for EDGAR Next Now

On The Dot (Episode 3) - A conversation with Gordon Ruckdeschel about the EDGAR Next proposal and the steps SEC...

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

January 4, 2024