News & Resources

Whether you want to read the full article, or just get a quick overview that includes what it means for you, you’ll find the latest SEC-related news here.

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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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.

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.

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.

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.

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