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Point-of-Sale Prospectus

Simplify investor disclosure with technology and data

Our regulatory document library and data-driven fulfillment platform helps firms simplify investor disclosure at every communication touch point—from pre-sale to post-sale delivery. Broadridge provides the industry's first and leading electronic prospectus solution.

Simplify prospectus delivery and save on costs

Let technology and data drive prospectus delivery. Our end-to-end solution ensures accurate information, reduced costs and a better investor experience.

Regulatory Document Library

Proprietary EDGAR Sourcing

Summary Prospectus Web Hosting

Investor Disclosure Data

Omni-channel Prospectus Fulfillment

Simplify prospectus delivery for compliance and investor satisfaction

Leveraging proprietary technology, data-driven fulfillment and a central regulatory library, Broadridge helps firms simplify investor disclosure and prospectus delivery obligations.

Product Specifications

Digitize prospectus delivery from the definitive source – EDGAR

The industry’s first and most comprehensive online prospectus library

Pre-Sale: Show the most recent prospectus online
Point of Sale: Provide an investor a link to a prospectus after an online transaction
Post Sale: Enable firms to collect consent and e-deliver ongoing regulatory materials

Data-driven investor disclosure, updated daily

Improve operational efficiency, increase accuracy and mitigate risk

Proprietary “fund mapping” technology assures timely, accurate information
Comprehensive data feeds for mutual funds, ETFs, variable annuities and 529 plans
Fee transparency and investor disclosure for point-of-sale transactions

Fulfill first-dollar prospectus and annual prospectus updates

A single-source print and digital prospectus delivery solution

Reduce print, paper, inventory and postage costs
Personalize the investor experience
Provide a bridge from paper to e-communications

Outsource summary prospectus web hosting and save

A single-source summary prospectus solution for print, e-delivery and online

Complies with SEC Rule 498 for summary prospectus delivery and web linking methodology
Offers three flexible options to support your summary prospectus hosting needs
Web-enabled access to your documents across all major mobile devices

See Product Specifications

How We Can Help

Industry-leading data and technology for disclosure

40K+

CUSIPs monitored from the SEC EDGAR system daily.

400M+

Pieces of regulatory communications delivered electronically each year.

1,678

Average new CUSIP filings on EDGAR daily.

Infographic

New Filings Happen. Are You Keeping Up?

Keeping up with compliance change requires an automated Regulatory Solutions platform for print, e-delivery, web and mobile.

Asset Management

Let’s talk about
what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.

REQUEST INFORMATION

22c-2 Compliance

Annual Compliance

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Broadridge Alternative Investments Hub

Capital Markets Disclosures

Cash Management

Collateral Management

Connectivity

Consumer Preference and Profile Management

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Digital Delivery

Digital Experience Management

Distributed Marketing Solution

Distribution 360

Document Composition

Enhanced Packaging

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Fact Sheets

Fi360 Learning and Development

Fi360 Software and Technology

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Intraday Risk Monitoring

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InvestorView

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Managed Services, Hosting and Integration

Market Analytics

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

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ProxyVote

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