EDGAR Next is live. What’s next?
Now that the EDGAR Next enrollment compliance date has passed, what's next? Learn more about final compliance steps and additional...
Jennifer Froberg - Sr SEC Product SpecialistInvestment Company Compliance
Articles
Jennifer Froberg - Sr SEC Product Specialist
ETF issuer interest remains high even as challenges persist
Exchange Traded Funds (ETFs) have been a hot topic for years, with the discussion accelerated by the interest to expand...
Guy Stanzione - Director, SEC Compliance Services
Securities Act of 1940: Rules and requirements summary
The investment company industry relies on clear, consistent disclosures to meet the ’40 Act regulatory requirements. This guide outlines the...
Guy Stanzione - Director, SEC Compliance Services
Navigating the compliance landscape for Investment Management Companies
The Investment Company Act of 1940 requires mutual funds to submit prospectuses, shareholder reports, and Form N-PX filings with the...
EDGAR Next for ’40 Act filers
On Sept. 27, 2024, the SEC announced the EDGAR Next final rule which significantly impacts all SEC filers. Filers began...
Gordon Ruckdeschel - Vice President, Compliance Services and Funds