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 ServicesFinancial Services
Articles
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
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 - Global Composition and ADA Accessibility Advisor
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
SEC FAQs: TSR 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
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
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
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...
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
Podcast: TSR ready. Are you absolutely sure? Tackling the data and content management challenges. [9:12]
On The Dot (Episode 6) - A conversation with Guy Stanzione about the SEC Tailored Shareholder Reports mandate and tackling...
Guy Stanzione - Director, SEC Compliance Services