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.

Flash Reports
22 Aug, 2023

Open-End Fund Liquidity Risk Management Programs, Swing Pricing, and Form N-PORT

On November 2, 2022, the SEC proposed amendments to improve liquidity risk management programs (“LRMP”) and utilize swing pricing for the adjustment of net asset values on a per share basis.

Flash Reports
10 Jul, 2023

Electronic Delivery Bill

On April 26, 2023, the House of Representatives – Financial Services Committee introduced a bill regarding the electronic delivery of certain disclosures.

Flash Reports
29 Jun, 2023

General Filing Deadlines and SEC Calendar Holidays

General filing deadlines and the SEC’s Holiday Calendar.

Flash Reports
26 Jun, 2023

Modernization of Beneficial Ownership Reporting

On February 10, 2022, the SEC proposed amendments to certain rules that govern beneficial ownership reporting. The amendments include revising filing deadlines for initial and amended reports filed on Schedules 13D and 13G, clarifying and affirming rules as applied to two or more persons that form a group under the Securities Exchange Act of 1934, and requiring submissions to be in XML format.

Flash Reports
24 May, 2023

Share Repurchase Disclosure Modernization for Listed Closed-End Funds

On May 3, 2023, the SEC adopted amendments to an issuer’s repurchase program and its share repurchases, requiring the filing of daily quantitative repurchase data either quarterly or semi-annually.

Flash Reports
15 May, 2023

The SEC’s Draft Open-End Fund Taxonomy Guide: What You Need to Know

On May 4, 2023, the U.S. Securities and Exchange Commission shared a draft version of the Open-End Fund (OEF) taxonomy and taxonomy guide to provide additional guidance on this aspect of the Tailored Shareholder Reports (TSR) rule.

News
03 Apr, 2023

Reintroducing FilePoint

Today, FilePoint launched a new brand including a new logo, new website, and new look and feel.

Resources
30 Mar, 2023

Form N-PX Amendments

Enhanced Reporting of Proxy and Executive Compensation Votes

Resources
20 Mar, 2023

Variable Contracts Rule 498A

As of March 2020, the SEC adopted a new final rule, 498A, and form amendments which intend to modernize disclosure requirements and allow investors to make more informed decisions about variable annuity and variable life insurance contracts.

Resources
20 Mar, 2023

Tailored Shareholder Report Final Rule

The purpose of the Tailored Shareholder Report Final Rule is to enable investors to identify and access key information clearly and concisely.

Resources
20 Mar, 2023

Shareholder Reports Rule 30e-3

On June 4, 2018, the SEC adopted a final rule allowing certain funds the option (not required) to satisfy the obligation for delivering shareholder reports via “notice and access.”