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SEC Rule 30e-3

Implementing SEC Rule 30e-3

Rule 30e-3 allows, but does not mandate, mutual funds to use a 'Notice & Access' method to deliver Annual and Semi Annual Reports. This could help reduce shareholder costs and improve the investor experience. We can help you prepare for the implementation of the rule and capture shareholder's delivery preferences.

30e-3 preference capture

A fully integrated preference capture solution for funds and brokers. Please see product specifications below for more information.

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Toll Free Number
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Unique ID
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Link to E-Delivery Sign-Up
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Direct Preference Capture

Preference Capture Solution

  • A central preference capture website that shareholders can use to elect their delivery preferences for full reports or e-delivery.
  • Toll-free phone number: Shareholders can use an IVR to record their delivery preferences for full reports.
  • Unique ID: Shareholders will need a unique enrollment ID to identify and authenticate themselves on the website and toll-free number. This ID will be included in distributions mailed by Broadridge on behalf of nominees and funds.

  • Link to e-delivery sign-up: will direct shareholder's to the appropriate website to sign up for 'paperless' or e-delivery communications. Shareholders will have to use their broker or fund website log in credentials to sign up for e-delivery.
  • Managing shareholder preferences: Broadridge will manage preferences via existing workflows with brokers and funds.
How We Can Help

Improve the customer experience and save print costs

SEC projected annual savings.
Jan 1,2019
The date funds and broker-dealers will need to be able to capture shareholder preferences.