Regulatory Compliance
EDGAR/SEDAR
November 2011
2012 SEC Filing Dates CalendarOverview:
The SEC calendar was developed to assist corporate issuers in preparing for EDGAR filing deadlines, peak periods, and SEC and market holidays.
October 2011
2012 SEC Filing Dates Quick SheetOverview:
Stay on top of key EDGAR filing deadlines, peak periods, and SEC and market holidays with our one-page planner.
September 2011
360° ComplianceOverview:
RR Donnelley 360° Compliance provides an overview of our full range of services that enhance the accuracy and turnaround time for all activities related to the review, preparation, delivery and storage of your critical compliance programs.Proxy Regulation
January 2012
Annual Meeting HandbookAuthor(s): Craig M. Garner, Chris G. Geissinger
Firm: Latham & Watkins LLP
Overview:
The Annual Meeting Handbook provides a general overview of the State and Federal Laws and Stock Exchange Rules related to annual meetings of shareholders.
January 2011
The 2011 Proxy Season Field GuideAuthor(s): Public Companies and Corporate Governance Practice
Firm: Morrison & Foerster LLP
Overview:
This Proxy Season Field Guide provides you with an overview of recent legislative, regulatory and shareholder developments, and provides guidance on how these developments will impact you in the 2011 proxy season.
May 2010
Executive Compensation Disclosure Handbook: A Practical Guide to the SEC's Executive Compensation Disclosure RulesAuthor(s): Danielle Benderly, Susan Daley, Iveth Durbin, Sue Morgan, Kelly Reinholdtsen
Firm: Perkins Coie
Overview:
This handbook provides an overview of the SEC's compensation disclosure rules and related requirements, including the most significant changes.Securities Regulation & Disclosure
January 2011
The 2011 Proxy Season Field GuideAuthor(s): Public Companies and Corporate Governance Practice
Firm: Morrison & Foerster LLP
Overview:
This Proxy Season Field Guide provides you with an overview of recent legislative, regulatory and shareholder developments, and provides guidance on how these developments will impact you in the 2011 proxy season.
January 2011
Annual Meeting HandbookAuthor(s): Craig M. Garner, Michelle M. Khoury, Chris G. Geissinger
Firm: Latham & Watkins LLP
Overview:
The Annual Meeting Handbook provides a general overview of the State and Federal Laws and Stock Exchange Rules related to annual meetings of shareholders.
January 2011
Corporate Governance and Securities Laws: A Public Company HandbookAuthor(s): Laurence Goodman, Valarie A. Hing, Jeffrey N. Ostrager
Firm: Curtis, Mallet-Prevost, Colt & Mosle LLP
Overview:
This publication has been written to acquaint public companies in the United States with the obligations under the corporate governance regulatory scheme that exists after the enactment of the Sarbanes-Oxley Act of 2002.
December 2010
Fiduciary Duties and Other Responsibilities of Corporate Directors and OfficersAuthor(s): Christopher M. Forrester, Celeste S. Ferber
Firm: Morrison & Foerster LLP
Overview:
This handbook is designed to assist directors and officers of public and private corporations in fulfilling their duties to their corporate constituents.
May 2010
Executive Compensation Disclosure Handbook: A Practical Guide to the SEC's Executive Compensation Disclosure RulesAuthor(s): Danielle Benderly, Susan Daley, Iveth Durbin, Sue Morgan, Kelly Reinholdtsen
Firm: Perkins Coie
Overview:
This handbook provides an overview of the SEC's compensation disclosure rules and related requirements, including the most significant changes.XBRL
December 2011
Webcast: XBRL and 10-K Peak Planning SolutionsOverview:
This webcast reviews best practices for the upcoming 10-K peak season including XBRL requirements for registration statements, and many others critical requirements.
November 2011
Webcast: XBRL Rules for Registration Statements featuring Morrison & Foerster and Ernst & YoungOverview:
This webcast discusses XBRL requirements for registration statements and provides solutions for real-life scenarios including missing XBRL data, incomplete XBRL submissions, taxonomy use and others.
October 2011
XBRL Requirements for Registration StatementsAuthor: RR Donnelley
Overview:
This whitepaper provides an overview of the XBRL requirements for registration statements.
October 2011
Webcast featuring SEC's Ted Uehlinger: A deep dive on SEC staff observationsOverview:
Utilizing practices consistent with the SEC rules and guidance to prepare quality XBRL is critical. Join Ted Uehlinger from the SEC and RR Donnelley XBRL experts as they take a deep dive on SEC staff observations.
June 2011
Quick Reference Guide to Filing 497 Supplements in XBRL for Mutual FundsAuthor(s): Paige Ryan, Project Manager, XBRL, Global Investment Markets Firm: RR Donnelley
Overview:
This whitepaper provides an overview of current SEC requirements related to EDGAR Filing of 497 Supplements in XBRL, and outlines the accepted methods for tagging a 497 for XBRL.
June 2011
Whitepaper: A Preparer's Guide to XBRLFirm: RR Donnelley
Overview:
This comprehensive guide was developed by RR Donnelley for use by senior financial executives. It includes a timeline for tagging financial statements, filing XBRL reports, and other XBRL-related practical information.
Spring 2011
"Deep Dive" Into XBRL - Educational Events & WebcastsOverview:
XBRL introduces a new level of complexity to the SEC reporting process and has changed the way your company prepares, files and analyzes financial reports. RR Donnelley's series of in-depth sessions are designed to demystify the complexities of XBRL.
December 2010
XBRL Taxonomy Element and Definition GuideAuthor(s): RR Donnelley
Overview:
This guide has been created to assist you in determining which elements (tags) are available to use for your risk/return summary XBRL filing. This list has been created from the 2010 taxonomy which was approved by the SEC and released on April 12, 2010.
November 2010
Whitepaper: A Review of 2010 Detail Footnote Tagging: Observations, Pitfalls, Insights and GuidanceAuthor(s): Paul Penler, Executive Director
Firm: Ernst & Young
Overview:
This whitepaper provides observations from the first wave of issuers submitting their detail tagged footnotes to the SEC; identifies their pitfalls; and offers insights and guidance.
September 2010
Whitepaper - Best Practices in Outsourcing XBRL: 10-K Detailed Footnote Tagging by Tier I CompaniesAuthor(s): William M. Sinnett
Firm: Financial Executives Research Foundation
Overview:
This whitepaper provides an inside look from Microsoft and Dow Chemical Company at some of the detail footnote tagging issues that have presented the most significant challenges as well as offer guidance to ensure you are better prepared to handle the additional requirements.
June 2008
What You Need to Know About XBRL for '40 Act CompaniesAuthor(s): Judith A. Hasenauer, Principal
Firm: Blazzard & Hasenauer P.C.
Overview:
On June 10, 2008, the Securities and Exchange Commission published rule proposals that would require mutual funds to provide risk/return summary information in XBRL. This memorandum provides an overview of the rule and related issues.
June 2007
XBRL Reference Guide: 1940 Act CompaniesAuthor(s): Various
Firm: Various
Overview:
This reference guide is intended to give you some background on XBRL for the investment markets and has been prepared to show you how you can implement XBRL in your company.Dealmaker
Bankruptcy
December 2010
Navigating Today's Environment: The Directors' and Officers' Guide to RestructuringAuthor(s): John Wm. (Jack) Butler, Jr.
Firm: Skadden, Arps, Slate, Meagher & Flom LLP
Overview:
This guidebook was written to promote corporate governance best practices with a focus on supplementing directors' and officers' prior experiences with specific knowledge about how to manage companies that are undergoing rapid change and/or are at risk of becoming, or have already become, distressed business enterprises.Initial Public Offerings
April 2011
The Public Company Primer: A Practical Guide to Going Public, Raising Capital, and Life as a Public CompanyFirm: McDermott Will & Emery LLP, Torys LLP, White & Case LLP
Overview:
This manual provides companies with a step-by-step guide to the process of becoming publicly held.Mergers & Acquisitions
January 2012
Tales from the M&A Trenches: Pre-Closing Practices to Mitigate Post-Closing Risks (3rd Edition)Author(s): Paul Koenig & Mark Vogel
Firm: Shareholder Representative Services
Overview:
This publication provides best practices and practical drafting tips often overlooked in M&A transactions.Private Equity / Venture Capital
December 2010
Venture Capital: A Practical Guidebook for Business Owners, Managers and AdvisorsAuthor(s): Daniel H. Aronson
Firm: Berger Singerman, P.A.
Overview:
This guidebook and manual provides capital-seeking companies with a step-by-step guide to the process of pursuing, negotiating, and securing venture capital funding.Investment Markets
Content Delivery
September 2009
E-Delivery – A summary of the Securities and Exchange Commission's guidelines on electronic distribution of regulated financial informationAuthor(s): John A. Hagerty
Firm: RR Donnelley
Overview:
This insightful whitepaper offers an overview of current SEC interpretations of federal securities law requirements related to electronic distribution.'40 Act Compliance
January 2012
2012 Investment Markets Filing Dates QuicksheetOverview:
Stay on top of key EDGAR filing deadlines and important dates to remember with our one-page planner.
March 2011
Investment Company Act of 1940 and Investment Advisers Act of 1940Author(s): Stradley Ronon
Overview:
This comprehensive publication contains the Investment Company Act of 1940, the Investment Advisers Act of 1940, and their rules in convenient handbook form.
March 2011
Mergers of Investment CompaniesAuthor(s): Stradley Ronon
Overview:
Stradley Ronon's guide to investment company mergers and to Form N-14, for practitioners and senior executives in the investment company industry.
March 2011
Mutual Fund Record Retention Reference GuideAuthor(s): Stradley Ronon
Overview:
The Mutual Fund Record Retention Reference Guide has been prepared to assist investment companies and their various service providers to identify the retention periods for mutual fund records maintained under the various rules affecting mutual funds.
March 2011
The Registration of Mutual FundsAuthor(s): Stradley Ronon
Overview:
This book provides a comprehensive overview of the various registration forms and disclosure requirements for mutual funds, and has been the standard industry text on fund disclosure for over two decades.XBRL
June 2011
Quick Reference Guide to Filing 497 Supplements in XBRL for Mutual FundsAuthor(s): Paige Ryan, Project Manager, XBRL, Global Investment Markets Firm: RR Donnelley
Overview:
This whitepaper provides an overview of current SEC requirements related to EDGAR Filing of 497 Supplements in XBRL, and outlines the accepted methods for tagging a 497 for XBRL.
December 2010
XBRL Taxonomy Element and Definition GuideAuthor(s): RR Donnelley
Overview:
This guide has been created to assist you in determining which elements (tags) are available to use for your risk/return summary XBRL filing. This list has been created from the 2010 taxonomy which was approved by the SEC and released on April 12, 2010.
June 2008
What You Need to Know About XBRL for '40 Act CompaniesAuthor(s): Judith A. Hasenauer, Principal
Firm: Blazzard & Hasenauer P.C.
Overview:
On June 10, 2008, the Securities and Exchange Commission published rule proposals that would require mutual funds to provide risk/return summary information in XBRL. This memorandum provides an overview of the rule and related issues.
June 2007
XBRL Reference Guide: 1940 Act CompaniesAuthor(s): Various
Firm: Various
Overview:
This reference guide is intended to give you some background on XBRL for the investment markets and has been prepared to show you how you can implement XBRL in your company.Outsourcing
May 2010
Whitepaper: Managing Legal CostsAuthor(s): Wendy Hufford, Deputy General Counsel, ITT Jason Brenna, Vice President Legal Support Solutions, RR Donnelley
