Updates & Insights

Important Topics Related to Insider Trading Disclosure and iXBRL Tagging

The SEC continues their focus on effective corporate governance and transparent executive compensation disclosure with the adoption of the Insider Trading...

June 19, 2023 Jennifer Froberg - Sr SEC Product Specialist

Clarifying SEC Form 144 filing requirements

Understanding the complexities of selling securities, particularly restricted and controlled securities, can be challenging. Although Form 144 is crucial for...

June 16, 2023 Toppan Merrill

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...

June 15, 2023 Toppan Merrill

What is SEDAR+?

The new platform is designed to better support how issuers, SEDAR+ filing agents and data consumers file, disclose and access...

June 2, 2023 Toppan Merrill

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)...

May 30, 2023 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...

May 10, 2023 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...

May 10, 2023 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...

May 2, 2023 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...

April 19, 2023 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...

April 10, 2023 Elizabeth Epler Jones, CPA - Partner, AXIA Partners