SEC Releases 2025 Names Rule FAQs
On December 11, 2023, the SEC amended the Investment Company Names Rule to address certain broad categories of investment company...
Guy Stanzione - Director, SEC Compliance ServicesUpdates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown
On The Dot (Episode 7) - A conversation with Guy Stanzione discussing the highs, the lows, and questions to be resolved to ensure SEC compliance.
Updated: October 1, 2024
Guy Stanzione - Director, SEC Compliance Services
Discussing Tailored Shareholder Report Common Issues
The Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) is responsible for reviewing fund disclosures. During the monitoring...
Guy Stanzione - Director, SEC Compliance Services
iXBRL tagging of cybersecurity disclosures in SEC filings enhances transparencyÂ
In 2023, the SEC adopted a final rule requiring public companies to provide specific disclosures regarding their material cybersecurity incidents...
Jennifer Froberg - Sr SEC Product Specialist
Are you already preparing for the next AEP season?
Creating documents for health plan member communications can be chaotic. This year was no exception when the models dropped for...
Jen Trewick - Principal Product Manager
Redefining proxy design: How W&T Offshore moved the needle as a finalist for the 2024 Best Proxy Statement (Small Cap) award
W&T Offshore, Inc. is highlighted for being a finalist for the 2024 Best Proxy Statement (Small Cap) award, showcasing their...
Mike Spelman
Why Notice and Access (N&A) can end up costing more — and yield lower voting results
When the SEC introduced Notice and Access (N&A), the goal was to cut printing and postage costs while simplifying the...
Mike Spelman
Medicare, Medicaid & Mental Health: understanding CMS’s new behavioral health strategy
As mental health care access becomes an even greater priority, CMS recently implemented a new comprehensive behavior health strategy. Learn...
April Chambers - Healthcare Service Technology Manager
What is the purpose of the Management Information Circular in Canada?
The Management Information Circular (MIC) plays an important role in Canadian corporate governance, serving purposes beyond regulatory requirements. The MIC...
Jason Barnard - Business Development Manager, Canadian Compliance
EDGAR Next: How to navigate the SEC rule and requirements
On September 27, 2024, the SEC announced the EDGAR Next final rule. In this blog, Jennifer Froberg shares an overview...
Jennifer Froberg - Sr SEC Product Specialist
Important Update: After-hours filings status change for fee bearing submissions effective September 16, 2024
The SEC has issued an update regarding a status change for after-hours fee-paying filings, which will take effect in September...
Theresa Jasper - Senior SEC Product Specialist