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SEC introduces Tailored Shareholder Reports (including iXBRL) to modernize investor communication

SEC introduces Tailored Shareholder Reports (including iXBRL) to modernize investor communication

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

2020 retrospective: Key 1940 Act regulations

2020 retrospective: Key 1940 Act regulations for investment management and insurance companies

We certainly won’t see an end to new rule-making as the industry and regulators are under pressure to adapt to...

Toppan Merrill

January 21, 2021

SEC Rule 30e-3 is now effective

SEC Rule 30e-3 is now effective

As of January 1, 2019, Rule 30e-3 officially became effective. Rule 30e-3 creates an optional “notice and access” method for...

Toppan Merrill

January 18, 2019