EDGAR Next: How to navigate the SEC rule and requirements
On September 27, 2024, the SEC announced the EDGAR Next final rule. In this blog, Jennifer Froberg shares an overview...
Jennifer Froberg - Sr SEC Product SpecialistUpdates & 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
Jennifer Froberg - Sr SEC Product Specialist
Important Update: After-hours filings status change for fee bearing submissions effective September 16, 2024
The SEC has issued an update regarding a status change for after-hours fee-paying filings, which will take effect in September...
Theresa Jasper - Senior SEC Product Specialist
Navigating the 2024 CMS Final Rule changes: what they mean for member communications programs
Open enrollment is just around the corner, and with it comes significant changes to how MAOs manage their member communications....
Jen Trewick - Principal Product Manager
Schedule 13D and Schedule 13G: Key challenges and considerations for the XML mandate
The new SEC mandate requiring Schedule 13D and 13G filings to be submitted in an XML format, effective December 18,...
Eva Schaeffer
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...
Guy Stanzione - Director, SEC Compliance Services
Navigating the new SEC Form SHO: What every 13F filer needs to know
13F filers who meet specific requirements will need to report short positions to the SEC monthly, beginning in 2025, on...
Jennifer Froberg - Sr SEC Product Specialist
The impact of SEC rulemaking on Business Development Companies
In March 2020, the SEC adopted rules modernizing disclosure and the offering process for Closed-End Funds (CEF) and Business Development...
Guy Stanzione - Director, SEC Compliance Services
PCAOB spotlights and trends for internal controls
Elizabeth Epler Jones, Partner at AXIA Partners, shares an overview of the 2024 PCAOB inspection priorities for external audit firms,...
Elizabeth Epler Jones, CPA - Partner, AXIA Partners
Perspective from when airport systems went down and confusion unfolded. Life’s twists and turns can teach us valuable ADA lessons.
Understanding the importance of accessibility will help benefit your investors and customers. Learn how the airline's software malfunction can show...
Gary Iverson
SEC mandates Inline XBRL for SPAC IPOs and de-SPAC transactions
On Jan. 24, 2024, the SEC adopted a final rule requiring the new tailored prospectus disclosures to be Inline XBRL...
Jennifer Froberg - Sr SEC Product Specialist