Regulatory Services

SEC Compliance Services

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As a full-service filing agent, FGS can convert a variety of file types into SEC EDGAR compliant HTML. Either as a standalone (EDGAR only) project or in combination with composition, FGS is ready and able to take on all of your SEC filing requirements. Oh, if you still want ASCII files… don’t worry, we can do that too. 

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SEC rules and requirements are always changing. FGS staff work closely with lawyers, accountants and SEC personnel to stay up-to-date. 

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Filing Types

Several filing types can no longer be transmitted to the SEC as HTML or ASCII. Instead, they must be transmitted as an .xml file. Forms 3, 4 and 5, 13F’s, N-MFP, N-CEN, TA-1 and TA-2 are some of these filing types. Utilizing special templates and automation FGS can quickly populate these forms with client data and get them filed with the SEC.

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XBRL

FGS also offers full XBRL tagging and taxonomy services. With a client-accessed portal for project management, review, approval and collaboration. FGS provides the accounting expertise and experience to properly identify tags and advise clients.

 

Deadlines

Again, FGS is staffed around the clock to manage the EDGAR conversion and alteration process. We pride ourselves on getting your documents filed quickly and accurately in order to accommodate your strict SEC deadlines.

FGS is a full-service filing agent offering solutions for financial composition, SEC EDGAR filings and XBRL filings. Being one of the most trusted sources in the industry, FGS has the experience, the ability and the drive to handle all of your financial composition and compliance needs.

A client-assigned customer service team will lead and manage every aspect of the creation, filing, production and distribution process through one or all of FGS owned and operated facilities located in the Midwest and East Coast.

Other Services

Forms Management

We provide full forms management, creation and production services. Forms solutions (such as fillable PDFs) and web-based database driven techniques are also available.

Document File Conversion and Re-purposing

We utilize data-feeds to create documents in minutes – This is ideal for data-rich documents requiring constant updates and new version creation. This also integrates to a user interface to enable user-based content management and document creation.

Prospectus Solutions

FGS offers a full range of services to aid in the creation of statutory pros with summary pro creation on-the-fly, Statements of Additional Information (SAIs), and proxy creation.

Data-fed Composition

We provide full forms management, creation and production services. Forms solutions (such as fillable PDFs) and web-based database driven techniques are also available.

Web Hosting and Hosting Services

The SEC has established new rules for how documents must be hosted. FGS has invested in technologies to safely and securely host your documents while making them available to your investors, financial advisors, analysts and clients. Our robust, enterprise-wide, compliant, hosting solution can become your one central asset management solution to support all compliance, marketing, legal and sales requirements.

Web-based Content Management and Publishing

FGS has brought a powerful user interface, database and publishing engine to help companies store, manage, update, and publish regulatory documents of all kinds.

what we do for each sector

Investment Fund Companies

Mutual Funds, Closed-End Funds,
Exchange-Traded Funds (ETFs)

  • Annual Reports (N-CSR Filings)

  • Semiannual Reports (N-CSRS Filings)

  • Statutory Prospectuses (N-1A, N-2, 485APOS, 485BPOS, 486BPOS, 497 and 497J Filings)

  • Summary Prospectuses (497K Filings)

  • Proxy Statements (PRE14A, DEF14A, DEFA14A Filings)

  • Fact Cards

  • Supplements (497 Filings)

  • Misc. Filings (24F2NT, CORRESP, 13F, SC-13G, N-PX, N-MFP, N-CEN, N-PORT)

Unit Investment Trusts (UITs)

  • Prospectuses (S-6, 487, 497 and 497J Filings)

  • Fact Cards

  • Misc. Filings (24F2NT, CORRESP, N-CEN)

REITs

  • Prospectuses (S-11, 424B5 Filings)

  • Annual Report (10-K Filings)

  • Quarterly Marketing Reports

  • Quarterly Reports (10-Q Filings)

  • Misc. Filings (8-K, SC-13G Filings)

Corporate

  • Prospectuses (S-11, 424B5 Filings)

  • Annual Report (10-K Filings)

  • Quarterly Reports (10-Q Filings)

  • Misc. Filings (8-K, SC-13G Filings)

Annuities

  • Prospectuses
    (485APOS, 485BPOS, 497 and 497J Filings)

  • Misc. Filings
    (24F2NT, CORRESP, N-CEN, N-30B-2 Filings)

Document Composition Services

Custom

Composition

Using client supplied Microsoft Word, Excel files and mark-ups, FGS will format and style the content to your pre-approved style and branding specifications.

 Automated

Composition 

Using powerful publishing platforms, FGS can utilize any number of data-feeds to create documents in minutes. This is ideal for data rich documents requiring constant updates. This can also integrate to a user-friendly web interface to enable user-based content management and document creation.

 Edits and Author Alterations 

FGS is staffed around the clock to manage the alteration process. We understand that this is vital to supporting the legal, marketing and accounting review and auditing process.