BR · 10-K filed 4 Aug 2026 · year to 30 Jun 2026

Broadridge Financial Solutions

33 named things its latest annual report says its results depend on, each in the company's own words. 17 of them are also named by other companies we've read.

Read the filing on SEC.gov ↗

Customers

Largest client (unnamed)

earns from · approximately 7% of our consolidated revenuesnamed as a risk

In fiscal year 2026, our largest client accounted for approximately 7% of our consolidated revenues.Risk factors (Item 1A)

Also named by OMC

Deferred client conversion costs – single large client

concentrated in · approximately 9% of our total assetsnamed as a risk

Such costs for all clients represented approximately 9% of our total assets as of June 30, 2026, with one client representing a large portion of this amount.Risk factors (Item 1A)

U.S. primary dealers of fixed income securities

earns from · 22 of the 26 primary dealers

provided fixed income trade processing services to 22 of the 26 primary dealers of fixed income securities in the U.S.; andBusiness (Item 1)

Suppliers

United States Postal Service (USPS)

depends onnamed as a risk

We rely upon the United States Postal Service (“USPS”), Canada Post, other government-sponsored postal services globally, and third-party carriers, such as the United Parcel Service, for timely delivery of communications on behalf of our clients.Risk factors (Item 1A)

Also named by CI, DJCO, FDX, HIMS, PBI, PPLI, UPS

United Parcel Service (UPS)

depends onnamed as a risk

Also named by FDX, RXO

Canada Post

depends onnamed as a risk

In addition, certain government-sponsored postal services, including the USPS and Canada Post, have experienced financial challenges, labor disputes, and operational constraints in recent years and may, as a result, implement significant changes to the breadth or frequency of its mail delivery or other aspects of service, which could disrupt the distribution of communications.Risk factors (Item 1A)

Outsourced data center services provider

depends onnamed as a risk

Moreover, because we have outsourced our data center operations and use third-party cloud services providers for storage of certain data, the operation, performance and security functions of the data center and the cloud system involve factors beyond our control, and we cannot guarantee that our third-party providers will be able to provide their services at a satisfactory level.Risk factors (Item 1A)

Partners and platforms

The Depository Trust and Clearing Corporation (DTC)

depends on

Nominees accomplish this by entering into agreements with Broadridge and transferring to us, via powers of attorney, the authority to execute a proxy, which authority the Nominee receives from DTC via an omnibus proxy.Business (Item 1)

Other companies

Securities market trading volumes and activity

exposed to its pricenamed as a risk

These revenue sources are substantially dependent on the levels of participation and activity in the securities markets.Risk factors (Item 1A)

CQG, Inc.

Our recent acquisition of CQG, Inc, (“CQG”), an execution management system provider to futures and options market participants, has expanded our execution management, algorithmic trading and market data capabilities and enhanced our market venue connectivity.Business (Item 1)

Acolin Group Holdco Limited

In January 2026, we acquired Acolin Group Holdco Limited (“Acolin”), a European provider of cross-border fund distribution and regulatory services and included in the Company’s ICS reportable segment.Business (Item 1)

Signal Agency Limited

In August 2025, we acquired Signal Agency Limited (“Signal”) to expand and globalize our digital customer communications capabilities, strengthen our presence in Europe, and further enhance our ability to help our clients modernize omni-channel customer and investor communications.Business (Item 1)

Places

Canada

operates in · approximately 15% of our fiscal year 2026 revenues were earned outside of the U.S.named as a risk

Our operations outside of the U.S. primarily reside in Canada, Europe and India.Market risk (Item 7A)

Also named by AAP, AJG, ALL, AMRC, AOS, ARE, BBY, BF/B and 97 more

India

operates innamed as a risk

Our operations outside of the U.S. primarily reside in Canada, Europe and India.Market risk (Item 7A)

Also named by A, AAPL, ACN, AJG, AKAM, AMZN, AOS, AVGO and 54 more

Commodities and inputs

Euro

exposed to its price · EUR 880 millionnamed as a risk

In addition, we executed a series of cross-currency swap derivative contracts with an aggregate notional amount of EUR 880 million which are designated as net investment hedges to hedge a portion of our net investment in our subsidiaries whose functional currency is the Euro.Market risk (Item 7A)

Also named by ABBV, ABNB, ABT, ADBE, ADI, AME, AMG, AMGN and 186 more

SOFR

exposed to its price · $1,022.0 million, or 31%named as a risk

As of June 30, 2026, $1,022.0 million, or 31%, of the Company’s total outstanding debt balance of $3,254.6 million is based on floating interest rates.Market risk (Item 7A)

Also named by AAP, AIOT, APG, APH, ARES, AXON, BGC, CCC and 82 more

Foreign currencies (CAD, GBP, EUR, INR, SEK)

exposed to its price · approximately $15.8 millionnamed as a risk

For the fiscal year ended June 30, 2026 and June 30, 2025, a hypothetical 10% decrease in the value of the Canadian dollar, the British pound, the Euro, the Indian Rupee, and the Swedish Krona versus the U.S. dollar would have resulted in a decrease in our total pre-tax earnings of approximately $15.8 million and $23.9 million, respectively.Market risk (Item 7A)

Also named by ADSK, ENTG, EXPE, MGNI, MRNA, ON, SYK, UAL and 1 more

Canton Coin

exposed to its pricenamed as a risk

For example, we receive and hold digital assets in the form of Canton Coins in connection with our role as a Validator and Super Validator on the Global Synchronizer, the Canton Network’s decentralized interoperability infrastructure.Risk factors (Item 1A)

Also named by TW

Postal rates

exposed to its pricenamed as a risk

In addition, future increases in postal rates or shipping costs, as well as changes in customer preferences, may result in decreased demand for our traditional printed and mailed communications resulting in an adverse effect on our business, financial condition and results of operations.Risk factors (Item 1A)

Regulators

U.S. Securities and Exchange Commission (SEC)

subject tonamed as a risk

The SEC’s rules require public companies to reimburse Nominees for the expense of distributing stockholder communications to beneficial owners of securities held in street name.Business (Item 1)

Also named by AB, ADSK, AMG, AMP, ARCC, ARES, BAM, BCSF and 44 more

Financial Industry Regulatory Authority (FINRA)

subject tonamed as a risk

A failure to comply with any of these laws, rules or regulations could result in censure, fine, the issuance of cease-and-desist orders, or the suspension or revocation of SEC or FINRA authorization granted to allow the operation of its business or disqualification of its directors, officers, or employees.Business (Item 1)

Also named by AB, ADP, AGNC, AMG, AMP, BAM, BEN, BWIN and 23 more

Federal Financial Institutions Examination Council (FFIEC)

subject tonamed as a risk

A sufficiently unfavorable review from the FFIEC could have a material adverse effect on our business.Risk factors (Item 1A)

Also named by FIS, FISV, GPN

New York Stock Exchange (NYSE)

subject to

In addition, the NYSE rules establish fees for certain services provided by intermediaries, such as Broadridge, in the proxy process.Business (Item 1)

Also named by GSBD, ICE, NDAQ, QBTS, SPIR

BaFin (Germany)

subject to

Certain subsidiaries of Acolin are subject to supervision by the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, “Bafin”) in Germany, and by the Swiss Financial Market Supervisory Authority (“FINMA”) in Switzerland.Business (Item 1)

Also named by EVR, MKL, MSCI, RJF

Colorado Division of Banking

subject to

As a result, Matrix Trust is subject to various regulatory capital requirements administered by the Colorado Division of Banking and the Arizona Department of Insurance and Financial Institutions, as well as the National Securities Clearing Corporation.Business (Item 1)

Also named by PNC

Arizona Department of Insurance and Financial Institutions

subject to

Matrix Trust is subject to regulation by the Colorado Division of Banking and the Arizona Department of Insurance and Financial Institutions which regulate CITs pursuant to guidance issued by the Office of the Comptroller of the Currency.Business (Item 1)

FINMA (Switzerland)

subject to

Laws and programs

Health Insurance Portability and Accountability Act (HIPAA)

subject tonamed as a risk

We perform services for healthcare companies and are, therefore, subject to compliance with laws and regulations regarding healthcare information, including in the U.S., the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”).Business (Item 1)

Also named by ADI, BBY, BWIN, CART, CTSH, DGX, IQV, KR and 8 more

SEC Regulation E-Delivery (proposed)

subject tonamed as a risk

For example, the SEC’s recently proposed Regulation E-Delivery would permit our clients to change the default delivery method for certain communications required under the federal securities laws from paper to electronic delivery.Risk factors (Item 1A)

Gramm-Leach-Bliley Act (GLBA)

subject to

As a processor of personal information in our role as a provider of services to financial institutions, we comply with the Federal Trade Commission (“FTC”) Safeguards Rule implementing certain provisions of GLBA with respect to maintenance of information security safeguards.Business (Item 1)

Also named by CINF, EFX, FICO, FIS, FITB, OMF, ORI, PAYC and 4 more

SEC Uniform Net Capital Rule 15c3-1

subject to

As a registered broker-dealer and member of FINRA, BBPO is subject to the Uniform Net Capital Rule 15c3-1 of the Securities Exchange Act of 1934, as amended, which requires BBPO to maintain a minimum net capital amount.Business (Item 1)

U.S. Department of Labor (DOL) / ERISA

subject to

In addition, in connection with the offering of CITs, Matrix Trust acts as a discretionary trustee and an ERISA fiduciary.Business (Item 1)

Technology

Tokenized securities

named as a risk

If tokenized securities achieve broad market adoption, demand for traditional securities processing, investor communications, proxy distribution, and transfer agency services and related technologies of the type we provide could be altered, reduced or eliminated.Risk factors (Item 1A)