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On The Dot

Regulatory disclosure and compliant communications - direct from the experts.

Podcast: ETF issuer interest remains high [14:04]

On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors are drawn to ETFs for their relatively low cost, intraday tradability, transparency, tax efficiency, and exposure to specific markets or strategies.

Updated: December 2, 2025

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Debunking the Classic Myths Surrounding CMS Star Ratings

Over the last year, we have seen unprecedented change in the Public Company Accounting Oversight Board (PCAOB) and its standards-setting...

Summer Beach – Associate Director, Medicare Compliance Solutions

May 10, 2023

Health Plans

How the new SEC Tailored Shareholder Report rule impacts your EDGAR filing

The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes like...

Guy Stanzione - Director, SEC Compliance Services

May 10, 2023

Financial Services

Tailored Shareholder Reports: Managing the SEC website hosting requirements

In recent years the SEC has been focused on modernization and digital transformation, with the goals of: 1. Transparency and...

Guy Stanzione - Director, SEC Compliance Services

May 2, 2023

Financial Services

How CMS’ File and Use can assist Medicare Advantage Organizations

“Keep ‘em honest” often refers to important business activity checks and balances. An area in the Medicare Advantage (MA) industry...

Summer Beach – Associate Director, Medicare Compliance Solutions

April 19, 2023

Health Plans

SOX compliance: 4 key considerations for 2023

Elizabeth Epler Jones, Partner at AXIA Partners, details the impact of the PCAOB’s standards-setting agenda and what that means for...

Elizabeth Epler Jones, CPA - Partner, AXIA Partners

April 10, 2023

Corporate Compliance

PitchBook on ESG Developments in the Private Markets

Over the last year, we have seen unprecedented change in the Public Company Accounting Oversight Board (PCAOB) and its standards-setting...

Cadwalader Wickersham & Taft LLP

March 28, 2023

Capital Markets

Tailored Shareholder Reports: 6 things to consider before your first filing

In January 2023, the U.S. Securities and Exchange Commission (SEC) finalized new rules and amendments related to how mutual fund...

Guy Stanzione - Director, SEC Compliance Services

March 16, 2023

Corporate Compliance

Rule 10b5-1, Insider Trading: Form 4 and 5 disclosure changes and Form 144 deadline extended

Insider Trading Arrangements and Related Disclosures, a new SEC rule, implements cooling-off periods for directors and officers to minimize potentially...

Jennifer Froberg - Sr SEC Product Specialist

March 15, 2023

Capital Markets Corporate Compliance

Guidance from the SEC for new Pay versus Performance tables

The SEC staff recently issued 15 interpretations (see Sections 128D and 228D) relating to its new Pay versus Performance (PvP) rules.

Bryan Cave Leighton Paisner

March 3, 2023

Corporate Compliance

Decoding the SEC’s Updates on Pay Versus Performance Rules

Many issues remain open for imminent filers Final Pay Versus Performance (PVP) disclosure rules were published nearly six months ago leaving many...

Pearl Meyer

February 24, 2023

Capital Markets

Capital Markets

Corporate Compliance

Financial Services Regulatory Disclosure and Marketing Communications

Health Plans Member Communications

On The Dot

Podcast: ETF issuer interest remains high [14:04]

Updates & Insights

On The Dot

Podcast: ETF issuer interest remains high [14:04]

Debunking the Classic Myths Surrounding CMS Star Ratings

How the new SEC Tailored Shareholder Report rule impacts your EDGAR filing

Tailored Shareholder Reports: Managing the SEC website hosting requirements

How CMS’ File and Use can assist Medicare Advantage Organizations

SOX compliance: 4 key considerations for 2023

PitchBook on ESG Developments in the Private Markets

Tailored Shareholder Reports: 6 things to consider before your first filing

Rule 10b5-1, Insider Trading: Form 4 and 5 disclosure changes and Form 144 deadline extended

Guidance from the SEC for new Pay versus Performance tables

Decoding the SEC’s Updates on Pay Versus Performance Rules

Capital Markets

Corporate Compliance

Financial Services Regulatory Disclosure and Marketing Communications

Health Plans Member Communications

On The Dot

On The Dot

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