SEC

SEC Modernizes Beneficial Ownership Reporting on Schedule 13D and 13G with XML format

Our Toppan Merrill experts break down the SEC’s final rule to update beneficial ownership reporting for Schedule 13D and 13G...

Jennifer Froberg - Sr SEC Product Specialist

April 18, 2024

Tailored Shareholder Reports: Binding allowance and website availability for Variable Insurance Products

The FAQ provided needed clarity about document assembly and binding, but left uncertainty about the website hosting requirement of underlying...

Guy Stanzione - Director, SEC Compliance Services

March 29, 2024

SEC Climate Disclosure Rule: Timing Uncertain as Legal Challenges Move to Eighth Circuit

In a blog posted on March 26, 2024, Wiley highlights the topic of uncertain timing for the SEC Climate Disclosure...

Wiley

March 29, 2024

SEC Adopts Climate Reporting Requirements

In a blog posted on March 7, 2024, Cooley discusses the final climate disclosure rule adopted by the SEC on...

Cooley LLP

March 15, 2024

Tailored Shareholder Reports FAQs released: Form N-CSR and website availability requirements

On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored...

Guy Stanzione - Director, SEC Compliance Services

March 6, 2024

Tailored Shareholder Reports FAQs released: Binding individual shareholder reports of multiple funds addressed

On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored...

Guy Stanzione - Director, SEC Compliance Services

January 31, 2024

Podcast: TSR ready. Are you absolutely sure? Tackling the SEC filing challenges. [9:01]

On The Dot (Episode 5) - A conversation with Guy Stanzione and Gordon Ruckdeschel about the SEC Tailored Shareholder Reports...

Guy Stanzione - Director, SEC Compliance Services

January 25, 2024

SEC publishes 5 TSR FAQs: what every filer needs to know

Learn more about the recently released TSR FAQs published by the SEC.

Guy Stanzione - Director, SEC Compliance Services

January 22, 2024

Podcast: TSR ready. Are you absolutely sure? Tackling the print and distribution challenges. [9:31]

On The Dot (Episode 4) - A conversation with Guy Stanzione about the SEC Tailored Shareholder Reports mandate and tackling...

Guy Stanzione - Director, SEC Compliance Services

January 8, 2024

EDGAR Next: How to navigate the SEC rule and requirements

Learn about the EDGAR Next proposal and the impact on SEC filers once the final rule and requirements are adopted.

Jennifer Froberg - Sr SEC Product Specialist

January 4, 2024