ETF Archives | Toppan Merrill

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 things to consider 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

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

Closed-end fund rule changes for N-2 filers – effective Aug. 1, 2021

The SEC Securities Offering Reform for Closed-End Investment Companies, designed to streamline reporting and improve the registration process for Closed...

Jennifer Froberg - Sr SEC Product Specialist

September 13, 2021

SEC final rule: Use of derivatives by registered investment companies and business development companies

New SEC rule 18f-4 will permit funds to enter into derivative transactions if they comply with certain conditions designed to...

Jennifer Froberg - Sr SEC Product Specialist

March 23, 2021

Capital Markets

Corporate Compliance

Financial Services Regulatory Disclosure and Marketing Communications

Health Plans Member Communications

The state of ESEF – Part 2: What is next for ESEF?

ETF

Articles

Tailored Shareholder Reports: Managing the SEC website hosting requirements

Tailored Shareholder Reports: 6 things to consider before your first filing

Inline XBRL becomes a reality for variable product issuers

Closed-end fund rule changes for N-2 filers – effective Aug. 1, 2021

SEC final rule: Use of derivatives by registered investment companies and business development companies