SEC adopts fund of funds arrangements rule
Currently, Funds must obtain an SEC exemptive order to acquire shares of another Fund in excess of SEC limits. The...
Updates & 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
The golden repository: centralizing marketing communication technologies to improve productivity, efficiency and compliance
Your plan's ability to communicate effectively internally and with members is key. While marketing technology stacks aim to make complicated...
IPO Alternatives: Direct Listings and De-SPAC Transactions
In an interview on CNBC, SEC Chair Jay Clayton addressed the recent SPAC frenzy. Asked if SPACs are as good...
Inline XBRL insight for mutual funds and variable contracts
The deadlines for financial services providers to start filing certain disclosures in iXBRL format has been in effect for Large...
Consumer Choice Drives Payer Modernization
As consumers take on more responsibility for the cost of care, payers are racing to catch up to consumer-driven industries...
SEC Rule 498A impact on variable annuity / variable universal life companies
The Securities and Exchange Commission adopted Rule 498A, including form amendments, which intends to modernize disclosure requirements and allow investors...
5 tips to reduce frustration with your ANOC & EOC’s
There are so many products and solutions to choose from when it comes to increasing workflow efficiencies for your mandated...
FAST Act modernization rule: Highlights for investment companies
On May 2, 2019 the SEC Fixing America’s Surface Transportation Act (FAST Act) Modernization Rule became effective. While most of...
SEC Rule 30e-3 is now effective
As of January 1, 2019, Rule 30e-3 officially became effective. Rule 30e-3 creates an optional “notice and access” method for...
Consequences and penalties for late SEC regulatory filings and common errors
A study reported by The Wall Street Journal in September 2018 shows an uptick in corporate financial restatements during the...