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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FilePoint 2025 Annual Calendar

2025 General filing deadlines and the SEC’s Holiday Calendar.

SEC Publishes Common Issues in Tailored Shareholder Reports

On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of tailored shareholder report implementation. The staff has identified several recurring issues in this report.

The Division of Investment Management’s Disclosure Review and Accounting Office Publishes Takeaways on Common Issues Found in Review of Tailored Shareholder Reports

On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of Tailored Shareholder Report (TSR) implementation. The staff has identified several recurring issues in this report.

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.

2025 Peak Filing Volume Dates for EDGAR

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

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.

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).

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.

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.

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.

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