Financial 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

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]

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

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

SEC FAQs: 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

SEC FAQ: 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

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

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