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
The 9 critical challenges to be TSR ready The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes including... Guy Stanzione - Director, SEC Compliance Services December 13, 2023
Podcast: What are the early benefits of EDGAR Next? Episode 2 - A conversation with Jennifer Froberg about the SEC’s EDGAR Next proposal designed to improve EDGAR filing access,... Jennifer Froberg - Sr SEC Product Specialist December 8, 2023
New N-PX reporting requirements for 13F filers (Institutional Investment Managers) Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds.... Jennifer Froberg - Sr SEC Product Specialist September 5, 2023
The SEC modernizes Form N-PX to require Mutual Funds to report proxy votes in XML Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds.... Jennifer Froberg - Sr SEC Product Specialist August 11, 2023
Top 3 things to know about the Tailored Shareholder Reports Rule The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes like... Guy Stanzione - Director, SEC Compliance Services June 20, 2023
How the new SEC Tailored Shareholder Report rule impacts your EDGAR filing The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes like... Guy Stanzione - Director, SEC Compliance Services May 10, 2023
Tailored Shareholder Reports: Managing the SEC website hosting requirements In recent years the SEC has been focused on modernization and digital transformation, with the goals of: 1. Transparency and... Guy Stanzione - Director, SEC Compliance Services May 2, 2023
Tailored Shareholder Reports: 6 considerations before your first filing To modernize shareholder communications the SEC will require condensed, easily comprehensible, visually engaging content, with a simplified fee disclosure, tailored... Guy Stanzione - Director, SEC Compliance Services March 16, 2023
SEC mandates iXBRL tagging of actively sold variable products. The compliance requirement details. Effective Jan. 1, 2023, Variable Product issuers of actively sold contracts are now required to file registration statements and definitive... Guy Stanzione - Director, SEC Compliance Services February 13, 2023