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
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
28 Oct, 2020

Are your documents and website up to ADA standards?

Many funds are making the transition to adopt accessibility standards in their organizations to be ADA compliant and to better serve all types of stakeholders.

Flash Reports
03 Sep, 2020

New Proposed Rule to Affect EDGAR Filing System

The SEC proposed a new rule under Regulation S-T, Rule 15, which aims to make the EDGAR filing process more efficient, consistent, and reliable.

Flash Reports
11 Aug, 2020

Proposed Amendments to Reporting and Disclosure Requirements

The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements.

Flash Reports
04 Aug, 2020

SEC Adopts Rule Amendments on Proxy Voting Process

The SEC adopted rule amendments issuing additional guidance on proxy voting responsibilities of investment advisers.

Flash Reports
14 Jul, 2020

SEC Proposes Changes to Form 13F

The SEC proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

Flash Reports
19 May, 2020

Final Rule: SEC to Modernize Closed-End Fund Requirements

On April 8, 2020, the SEC adopted a new final rule which will modernize closed end fund reporting requirements.

Flash Reports
17 Apr, 2020

New Final Rule: Summary Prospectus for Variable Annuities

New disclosures will provide investors essential information about a contract’s terms, benefits, and risks in a reader friendly presentation, much like the summary prospectuses already delivered by mutual funds.

Flash Reports
27 Mar, 2020

The SEC Issues Regulatory Relief Amid Form ID and Notarization Challenges

the SEC acknowledged in an announcement that it is aware of challenges with meeting certain requirements for initial access to the EDGAR filing system.

Flash Reports
26 Mar, 2020

SEC Issues Additional Relief Due to COVID-19 Obstacles

the SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

Flash Reports
24 Mar, 2020

How and Why to File Form N-LIQUID

The fluctuating circumstances caused by the COVID-19 virus may affect funds’ liquidity, triggering some of the SEC’s liquidity risk management initiatives.