Proposed new SEC rules target and gravely disadvantage the SPAC market
The SEC has proposed new rules for SPACs and De-SPACs that would upend 30 years of precedent — under Republican...
Updates & 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
EDGAR modernization continues: Form 144 moves from paper to structured data XML
In 2021, the SEC received over 30,000 Form 144 filings. Of those, only 234 were submitted electronically on the EDGAR...
Jennifer Froberg - Sr SEC Product Specialist
A guide to de-SPAC transactions and how the process works
While both a traditional IPO and a SPAC IPO (with a de-SPAC transaction) are vehicles to bring a company public,...
Building business advantage through effective ESG Disclosure: A 3-part webinar series
The rising importance of environmental, social and governance (ESG) disclosure hit a tipping point in the last year. Entering a...
SEC fee payment method changes effective May 31, 2022
In 2021, the SEC adopted a significant final rule, Filing Fee Disclosure and Payment Methods Modernization, to modernize how companies...
Jennifer Froberg - Sr SEC Product Specialist
Inline XBRL taxonomy for closed-end funds (CEFs) and business development companies (BDCs)
In 2020, the SEC adopted a final rule, Securities Offering Reform for Closed-End Investment Companies, modernizing disclosure and the offering...
Jennifer Froberg - Sr SEC Product Specialist
Medicare, Medicare Advantage and CMS. A timeline from 1901 to today
In social settings, when someone asks, “What is Medicare?” or “What is CMS?” the common adage used to be, “Oh,...
Summer Beach – Associate Director, Medicare Compliance Solutions
Oh, my CMS stars! Yes, sales and marketing can impact Star Ratings
If you are an insurer who operates as a Medicare Advantage Organization (MAO), you’re well-aware how a plan’s 5-Star Rating...
Summer Beach – Associate Director, Medicare Compliance Solutions
Back to the future: CMS sales and marketing guidelines
With the ever-changing landscape of Center for Medicare and Medicaid Services (CMS) guidelines, let’s take a look at the recent...
Summer Beach – Associate Director, Medicare Compliance Solutions
Accessibility in healthcare: how providers can pivot for Section 508 compliance
Social awareness, diversity, and equality are all common topics, and all have a common thread — accessibility.