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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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FundReports.com
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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

  • FundReports.com: 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: Fundreports.com 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.
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How We Can Help

Improve the customer experience and save print costs

$230M
SEC projected annual savings.
Jan 1,2019
The date funds and broker-dealers will need to be able to capture shareholder preferences.

"Higher e-adoption through deployment of new technology and elimination of paper through consolidation, householding and suppression saves the fund industry hundreds of millions of dollars annually. Just in the past 12 months, elimination of print, paper and postage costs for 68% of mailings have saved fund shareholders $440M. These savings are expected to continue to grow and reach $550M by 2021, when we project 80% of mailings to be eliminated."

Chuck Callan
Senior Vice President, Corporate Affairs
Webinar

Get Expert Answers to Your Rule 30e-3 Compliance Questions

Listen to an informational session and interactive Q&A on best practices and solutions for compliance with the SEC's newly passed rule.
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Webinar: SEC Rule 30e-3 and Proposed Fund Disclosure Rules
Webinar
Webinar: SEC Rule 30e-3 and Proposed Fund Disclosure Rules
Press Release Content icon Press Release Content icon Press Release Content icon
Press Release
Broadridge Unveils Fund and Broker-Dealer Solution for SEC Rule 30e-3
Industry-wide solution will help firms get an early start on cost savings
Take Full Advantage of SEC Rule 30e-3
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Take Full Advantage of SEC Rule 30e-3
Webinar Transition Period Election Capture
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Webinar Transition Period Election Capture
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Mutual Funds and ETF Providers

Simplify financial and regulatory reporting

Stay focused on your core business while meeting tax and regulatory requirements with Broadridge specialists and products that automate data collection, analysis and reporting.
Regulatory Communications
Global Tax Reclaim and State Tax Reporting
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Point-of-Sale Prospectus
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