Financial Services

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

SEC updates EDGAR on Jan. 3, 2023, for Form 13F rule changes

On Jan. 3, 2023, the SEC updated the EDGAR system to implement changes related to Form 13F, which is filed...

Jennifer Froberg - Sr SEC Product Specialist

January 4, 2023

6 ways to boost the accessibility for your financial institution

People with disabilities deserve digital access to their financial institution's information. Just as financial institutions added Braille to ATMs and...

Toppan Merrill

November 22, 2022

SEC modernizes investor communication with Tailored Shareholder Reports (including iXBRL)

On October 26, 2022, by a vote of 5-0, the SEC adopted amendments to the requirements for Annual Report and...

Guy Stanzione - Director, SEC Compliance Services

November 17, 2022

Inline XBRL becomes a reality for variable product issuers

Effective January 1, 2023, Variable Product issuers of actively sold contracts are required to file registration statements and definitive updates...

Guy Stanzione - Director, SEC Compliance Services

September 27, 2022

Inline XBRL taxonomy for closed-end funds (CEFs) and business development companies (BDCs)

In 2020, the SEC adopted a final rule, Securities Offering Reform for Closed-End Investment Companies, modernizing disclosure and the offering...

Jennifer Froberg - Sr SEC Product Specialist

May 20, 2022

How a Strategic Communications Plan Impacts Customer Trust and Loyalty in Financial Services (Part 2) 

It is crucial for financial services firms to meet customer expectations when it comes to communications to establish trust, build...

Toppan Merrill

February 1, 2022

The Six Keys to Customer Communication for Financial Services Firms- Part 1

In today’s business landscape, customers expect clear and consistent communication from every company they work with, especially when it comes...

Toppan Merrill

January 20, 2022

SEC implies examination of websites for Rule 498A compliance

Focusing on meeting the ruling standards and the right solution, must be taken into consideration when adopting Rule 498A.

Guy Stanzione - Director, SEC Compliance Services

October 25, 2021

Closed-End Fund rule changes and instructions for SEC Form N-2 filers

The SEC adopted an expansive final rule in March 2020, Securities Offering Reform for Closed-End Investment Companies, designed to streamline...

Jennifer Froberg - Sr SEC Product Specialist

September 13, 2021