News & Resources: Flash Reports

Three Takeaways from the SEC’s Tailored Shareholder Reports Frequently Asked Questions

As most funds are in the throes of preparing for compliance with the new Tailored Shareholder Report (TSR) rules, the Securities and Exchange Commission (SEC) released a set of Frequently Asked Questions (FAQs) to help provide clarity on some questions the commission has received over the past several months.

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Three Takeaways from the SEC’s Tailored Shareholder Reports Frequently Asked Questions

As most funds are in the throes of preparing for compliance with the new Tailored Shareholder Report (TSR) rules, the Securities and Exchange Commission (SEC) released a set of Frequently Asked Questions (FAQs) to help provide clarity on some questions the commission has received over the past several months.

New Rule 13F-2 and Form SHO

On January 2, 2024, the Securities and Exchange Commission (“SEC”) published to the Federal Register a new rule and new Form SHO (the “Rule”) pursuant to the Securities Exchange Act of 1934 (“Exchange Act”) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (“DFA”). This Rule 13f-2 will require the publication of short sale related data to investors and other market participants.

Reminder about the “13s” due February 14, 2024 

The are a number of filing deadlines coming up next month for the “13s”. Check out our flash report for a complete list of deadlines.

EDGAR Release 23.4

On December 18, 2023, the SEC announced several changes to EDGAR Release 23.4. Of note, the Release announced a change that EDGAR will support a new taxonomy, allowing filers to comply with the “Investment Company Names” rule amendments.  

2024 General Filing Deadlines and SEC Holidays

General filing deadlines and the SEC’s Holiday Calendar.

Year in Review

It’s been another busy year for the SEC. From Tailored Shareholder Reports to N-PX Amendments to major cybersecurity-related developments, 2023 set the stage for what could be an even busier 2024.

Inline XBRL (iXBRL): What it is, and what you need to know

iXBRL, or inline XBRL, is a filing format that merges the aesthetic benefits of a human-readable HTML file with the machine-readable XBRL instance document file.

2023 XBRL Taxonomy Update and Timing

In early 2023, the SEC introduced an updated 2023 taxonomy (a set of data files that determines the ultimate structure required of filed documents) for mutual fund risk/return (“RR”) iXBRL filings.

Final Rule: Investment Company Names

On October 27, 2023, the final amendments to rule 35d-1 under the Investment Company Act of 1940, also known as the “Names Rule” were published to the Federal Register. These amendments aim to increase shareholder protection.

NSCP Currents: The Modernization of Proxy Voting

On November 2, 2022, the U.S. Securities and Exchange Commission (the “SEC”) adopted
amendments to Form N-PX filings to modernize reporting requirements and make proxy voting disclosures easier for investors to navigate and analyze.

Click below to view General Filing Deadlines and SEC Holidays

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