Frequently Asked Questions
30e-3 Optional Internet Availability Fund Company Shareholder Reports
In June 2018, the SEC adopted rule 30e-3, creating a non-mandatory "notice and access" method of delivery of fund shareholder Annual and Semi-Annual reports. The rule allows funds to deliver these reports by making them available online and sending shareholders a paper notice of each reports availability. Below are some Frequently Asked Questions addressing this rule and how it impacts shareholders.
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The rule goes into effect on January 1, 2021 but funds must give shareholders two years' notice if the fund wants to participate by that deadline.
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The rule permits funds to make their Annual and Semi-Annual shareholder reports available online. Shareholders will receive a notice in the mail when new reports are available along with a website where they can access and view those reports.
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It only applies to the delivery of Annual and Semi-Annual reports. It does not apply to prospectus delivery.
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If a fund does not provide notices for two years, they will need to wait until January 2022 to take advantage of the "notice and access" method of delivery.
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Go to www.fundnotices.com/IBUS or you can call 1-855-205-4033 and make an election over the phone.
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Yes. The rule requires that fund continue to send these notification for two years on any Annual, Semi-annual or Prospectus documents they distribute over the two year time frame.
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Yes. If you sign up for e-delivery you will receive all shareholder communications via email. That would include Annual, Semi-Annual and Prospectus materials effective immediately.
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Your delivery preference election options are:
1. Elect to receive the paper notice and online access to the documents.
2. Elect to receive printed Annual and Semi-annual reports in the mail.
3. Elect e-delivery for all shareholder communications.
1. Elect to receive the paper notice and online access to the documents.
2. Elect to receive printed Annual and Semi-annual reports in the mail.
3. Elect e-delivery for all shareholder communications.
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Yes, you can change your delivery preference election at any time by visiting www.fundnotices.com/IBUS or by calling 1-855-205-4033.
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The rule allows funds who follow the 2 year notification process to deliver Annual and Semi-Annual reports via the notice and access method. If you do not elect anything you will receive the mailed notification when new reports are available on a website
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Your recorded election will apply to ALL funds you hold in your brokerage account who have complied with the pre-notification requirements.
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Yes, the notification you receive in the mail will provide you with instructions on how to receive a printed document should you want one.