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About Broadridge

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.

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Regulatory Document Library
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Proprietary EDGAR Sourcing
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Summary Prospectus Web Hosting
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Investor Disclosure Data
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Omni-channel Prospectus Fulfillment

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
How We Can Help

Industry-leading data and technology for disclosure

CUSIPs monitored from the SEC EDGAR system daily.
Pieces of regulatory communications delivered electronically each year.
Average new CUSIP filings on EDGAR daily.

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