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Demo-Brokerage
Demo-Retirement
Demo-Variable Annuities

Pre-Sale

Enables online brokers to give visitors on their own corporate website transparent access to Prospectus Express.

Point of Sale

Enables financial institutions to give an individual investor an electronic link to the appropriate document in Prospectus Express, when the investor makes an online transaction. The electronic link is either in the online transaction screen or an embedded email link.

Post-Sale

Enables financial institutions to collect and maintain electronic consents and then provide ongoing electronic delivery of disclosure documents to investors holding a fund or making ongoing contributions to the position. Electronic delivery is provided with either regular email links (when investor email addresses are available) or compact disks with embedded links mailed to investor homes (when email addresses are not available).

Brokerage Firms

Allows broker/dealer firms that sell funds online to meet compliance requirements with the most up-to-date prospectus (and other disclosure documents) during pre-sale or at the point of sale.

Individual Variable Annuity Providers

Enables variable annuity providers to ensure compliance and optimize cost savings of product prospectuses and semi-annual and annual reports in lieu of the more costly, less compliant Evergreen "blanket mailing" approach.

Retirement Plan Providers

Improves cost efficiency and guarantees compliance of prospectuses, supplements, and semi-annual and annual reports via electronic delivery and consent marketing and management.

Compliance Guarantee

• Built-In Daily EDGAR Updates - NewRiver's patented process technology downloads the latest SEC filings daily from EDGAR, ensuring Prospectus Express is compliant.
• SEC Form N-1A Compliant - NewRiver meets SEC requirements for presenting performance graphics in prospectuses (e.g., bar chart showing total annual return for 10 years or life of fund) and annual reports (e.g., line graph showing growth of $10,000 investment over 10 years or life of fund).
• Compliance Envelopes - For every fund, Prospectus Express provides access to an electronic envelope, containing the relevant prospectus, supplements, semi-annual and annual reports, and statements of additional information.
• Proactive Regulatory Review - NewRiver continuously monitors compliance and regulatory change, ensuring Prospectus Express remains compliant.

Robust Administrative Web Interface

• Self-Service Fund Lineup Maintenance - Using the convenient Prospectus Express Web interface, firms simply upload their fund lineup changes and NewRiver implements these updates within 24 hours.
• Self-Service Reporting - Brokerage firms, individual variable annuity providers, and retirement plan providers generate "self-service" reports using the Prospectus Express Web interface.
• Comprehensive Reporting - NewRiver automatically generates the following standard Prospectus Express reports for a client's sell list:
  • Status of all documents
  • Recent funds retired
  • New funds available
  • User traffic
• Document Archiving - NewRiver stores all Prospectus Express documents since January 1, 1999 and can generate reports identifying the documents made available online on any given day.

Easy Implementation

• Web-Based ASP Solution - Prospectus Express requires no programming, no software or hardware expenditures, no maintenance, and no document archiving by the client organization.
• Seamless Integration - Prospectus Express integrates seamlessly with client websites, is transparent to investors, and is up and running within 10 weeks.
• Consent Marketing and Management - Total E-Consent Solution, NewRiver's patent-protected electronic consent collection and archiving capability, is available as an optional service. NewRiver's 10% Consent program features the industry's only guaranteed 10% opt-in rate for Year 1 – or your money back (note: certain terms and conditions apply).

Fast Turn-Around

• First-Dollar Prospectus - Prospectus Express typically delivers first-dollar prospectuses in T+1 (Transaction Plus One Day).

Cost Savings

• One-Third the Cost of Traditional Print Fulfillment - Prospectus Express provides about one-third of the cost of traditional print fulfillment and nearly half the cost of Portfolio-Specific Printing digital print-on-demand service.