Investment Company Compliance

E-Delivery as the default: An inside look at the SEC’s proposal

The SEC’s proposed Regulation E-Delivery could change how investor communications are delivered. The proposal would allow e-delivery as the default...

Guy Stanzione - Director, SEC Compliance Services

August 11, 2026

Beyond SEC compliance: Building a smarter document accessibility program

Accessibility has evolved beyond a compliance requirement. As organizations expand digital communications and increase electronic delivery, accessibility has become an...

Gary Iverson - Global Composition and Accessibility Director

August 6, 2026

Reducing SEC compliance risk with automated document distribution workflows

Many providers of retirement plans, IRAs and 403(b) plans, variable product issuers, intermediaries and plan sponsors still rely on fund...

Guy Stanzione - Director, SEC Compliance Services

July 28, 2026

Expanding the shelf: How the SEC could open capital markets to more issuers

In May 2026, the SEC announced its Registered Offering Reform proposal, the latest in the trio of proposals aimed at...

Jennifer Froberg - Sr SEC Product Specialist

July 21, 2026

RILA: The next steps for compliance

After the conclusion of the initial conversion cycle for the use of amended Form N-4, topics emerged from issuers that...

Guy Stanzione - Director, SEC Compliance Services

March 16, 2026

Beyond technology: The discipline behind exceptional SEC filings

Regulatory disclosure is complex and constantly evolving. SEC filers need a partner with deep expertise, a disciplined process and responsive...

Al Cutrone - Client Services, Vice President

February 27, 2026

Podcast: ETF issuer interest remains high [14:04]

On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors...

Guy Stanzione - Director, SEC Compliance Services

December 1, 2025

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 Specialist

November 18, 2025

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

September 25, 2025

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

September 24, 2025