M&A process | 8 essential steps in an M&A transaction
Global capital markets continue to grow more complex and are accelerated by regulatory shifts and market disruptions. And while M&A...
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
SEC filing form types: 7 SEC forms you should know
Although there are dozens and dozens of forms and schedules listed by the SEC, when it comes to Capital Markets...
Direct mail comes roaring back: 3 keys for healthcare insurers to drive engagement and growth
Amid all of the buzz around the tremendous digitization that’s taken place over the last two years in the healthcare...
Mike Zimny
SEC updates EDGAR on Jan. 3, 2023, for Form 13F rule changes
On Jan. 3, 2023, the SEC updated the EDGAR system to implement changes related to Form 13F, which is filed...
Jennifer Froberg - Sr SEC Product Specialist
5 CMS-required documents health plan marketers must know
Navigating the modern requirements and insurance documents of Medicare insurance can be a complex and a demanding task for many...
Summer Beach – Associate Director, Medicare Compliance Solutions
The A-B-Cs of SOX compliance
At its core, the Sarbanes-Oxley Act of 2002 is a law that was enacted in 2002 to protect the investing...
Elizabeth Epler Jones, CPA - Partner, AXIA Partners
How customers shop for health plans through digital marketing
The growing popularity of mobile apps and digital platforms is challenging many Medicare Advantage (MA) plans to rethink their digital...
Summer Beach – Associate Director, Medicare Compliance Solutions
6 ways to boost the accessibility for your financial institution
People with disabilities deserve digital access to their financial institution's information. Just as financial institutions added Braille to ATMs and...
SEC modernizes investor communication with Tailored Shareholder Reports (including iXBRL)
On October 26, 2022, by a vote of 5-0, the SEC adopted amendments to the requirements for Annual Report and...
Guy Stanzione - Director, SEC Compliance Services
The Inflation Reduction Act’s impact on drug benefits for health plans
The Inflation Reduction Act of 2022 (IRA) made substantial changes to federal healthcare provisions and will help reduce the cost...
Summer Beach – Associate Director, Medicare Compliance Solutions