How to choose the best SEC filing agent for an IPO
“Going public” offers private companies powerful growth opportunities — but also comes with a host of responsibilities to meet including...
Updates & Insights
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 18, 2025
What is SEDAR+?
The new platform is designed to better support how issuers, SEDAR+ filing agents and data consumers file, disclose and access...
CMS Changes the Definition of Marketing
We’ve heard the saying, “history repeats itself.” This rings true with yet another Centers for Medicare & Medicaid Services (CMS)...
Summer Beach – Associate Director, Medicare Compliance Solutions
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
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
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
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
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
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...
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