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News & Resources: Flash Reports

Flash Reports
14 Feb, 2024

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.

Flash Reports
30 Oct, 2024

N-PX: Our Three Main Takeaways (and things you may want to consider in advance of July 2025)

If you were involved in the latest round of Form N-PX filings, then you may have learned a thing or two about what goes into this updated process.

Flash Reports
22 Oct, 2024

2025 Peak Filing Volume Dates for EDGAR

On October 22, 2024, the SEC announced the peak filing volume dates for the 2025 calendar year.

Flash Reports
16 Oct, 2024

Form SHO: Draft Taxonomy, Scope, and Reporting Requirements

January 2025 is the first month that must be monitored, and if thresholds are crossed then the first Form SHO filing will be due February 14, 2025.

Flash Reports
11 Oct, 2024

Reminder for Upcoming Compliance Deadlines Related to the Modernization of Beneficial Ownership Reporting

Last fall, the SEC published amendments to the Securities Exchange Act of 1934 (the “Act”) under Sections 13(d) and 13(g).

Flash Reports
07 Oct, 2024

Rule 13F-2 and Form SHO Compliance Date Approaching

Earlier this year, on January 2, 2024, the Securities and Exchange Commission (“SEC”) published to the Federal Register a new rule (Rule 13f-2) and a new form (Form SHO), pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Flash Reports
02 Oct, 2024

SEC Cracks Down on Widespread Reporting Failures and Delays

On September 17, 2024, the SEC announced charges against 11 institutional investment managers for failing to file Forms 13F.

Flash Reports
01 Oct, 2024

SEC Introduces “EDGAR Next” to Enhance Security of EDGAR

On September 27, 2024, the SEC announced that it is adopting rule and form amendments concerning access to and management of accounts on the Commission’s EDGAR system. The amendments are related to certain technical changes to EDGAR (collectively referred to as “EDGAR Next”). The SEC is also amending Volume I of the EDGAR Filer Manual to accord with these changes.

SEC’s Adopted Amendments to Form N-PORT and Form N-CEN Adjust Timing and Reporting Requirements

On August 28th, 2024, the SEC (Securities and Exchange Commission) announced in a press release that it adopted amendments to Form N-PORT and Form N-CEN. These amendments are intended to provide more transparency to the SEC and to investors. These amendments will adjust some reporting and timing requirements for both forms. Details on these changes, and what you may need to know, are outlined below.

Flash Reports
12 Jul, 2024

Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments

On July 1, 2024, the SEC adopted amendments to provide a tailored form to register the offerings of registered index-linked annuities.

Flash Reports
24 Apr, 2024
Tammy Lee

SEC Staff Publishes New Registered Fund Statistics Report

The staff of the Securities and Exchange Commission (SEC) published a report of Registered Fund Statistics on April 24, 2024. The report, which will be issued on a quarterly basis going forward, is the first aggregated report that reflects both the public and non-public information filed on Form N-PORT.