SEC implies examination of websites for Rule 498A compliance
Focusing on meeting the ruling standards and the right solution, must be taken into consideration when adopting Rule 498A.
Guy Stanzione - Director, SEC Compliance ServicesUpdates & 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
Guy Stanzione - Director, SEC Compliance Services
6 communication strategies to boost health plan member engagement
For health plans, every point of engagement with members offers an opportunity to build trust, enhance the overall customer experience...
Everything You Need to Know About Inline XBRL (iXBRL)
What is Inline XBRL? iXBRL (Inline XBRL) is a filing format that merges the aesthetic benefits of a human-readable HTML...
Closed-End Fund rule changes and instructions for SEC Form N-2 filers
The SEC adopted an expansive final rule in March 2020, Securities Offering Reform for Closed-End Investment Companies, designed to streamline...
Jennifer Froberg - Sr SEC Product Specialist
What are Capital Markets and how do they work?
Simply put, capital markets are the vehicles for capital creation. Capital markets are a financial marketplace where people or institutions...
Marketing communication for health plans
To increase member enrollment and satisfaction, having effective health planmarketing strategies to communicate with current and potential customers is necessary....
Five steps to integrate print and digital communications: integrated marketing strategy (part 2)
Firms need to find new ways to cut through the digital noise. Still, many remain heavily focused on digitization, shifting...
What is a SPAC? The difference between a traditional IPO and a SPAC IPO.
A SPAC IPO differs from a traditional IPO in that a SPAC IPO is formed for the sole purpose of...
What is an Initial Public Offering?
Prior to being a publicly-traded company featured on a stock exchange, companies are privately held by the business owners. The Securities...
Nasdaq permits primary direct listings and proposes relaxation of pricing limits
On May 19, 2021, the Securities and Exchange Commission (SEC) approved Nasdaq’s proposal to permit companies to issue shares and...