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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

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Drawing within the lines during Medicare Advantage sales presentations

Prevent marketing complaints by helping your sales force understand which materials are required during sales discussions.

Summer Beach – Associate Director, Medicare Compliance Solutions

October 18, 2023

Health Plans

The state of ESEF – Part 1: Taking stock of the first few years

After this year’s filings, we are seeing a shift in conversations with filers: The focus is more on quality and...

Toppan Merrill

September 20, 2023

Corporate Compliance

Podcast: Cybersecurity risk management, strategy, governance and incident disclosure [10:54]

On The Dot (Episode 1) - A conversation with Jennifer Froberg, Senior SEC Product Specialist, about the new cybersecurity disclosure...

Jennifer Froberg - Sr SEC Product Specialist

September 19, 2023

Corporate Compliance

Medicare Advantage Special Enrollment Periods. Ready to assist enrollees with plan choices?

When unique circumstances hit your membership, they can miss their chance to enroll entirely, or to change plans. Look here...

Summer Beach – Associate Director, Medicare Compliance Solutions

September 14, 2023

Health Plans

New N-PX reporting requirements for 13F filers (Institutional Investment Managers)

Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds....

Jennifer Froberg - Sr SEC Product Specialist

September 5, 2023

Corporate Compliance Financial Services

The SEC modernizes Form N-PX to require Mutual Funds to report proxy votes in XML

Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds....

Jennifer Froberg - Sr SEC Product Specialist

August 11, 2023

Corporate Compliance Financial Services

Crossing the finish line: Final review for your 2024 ANOCs and EOCs

Toppan Merrill understands complex, and simple edits are important to your CMS-required ANOC and EOC benefits documents.

Summer Beach – Associate Director, Medicare Compliance Solutions

August 7, 2023

Health Plans

Modernization of filing fee disclosures – preparing for iXBRL Beta testing in October 2023

On June 16, 2023, the SEC announced the next stage of the rule implementation: an EDGAR filing fee Beta testing...

Jennifer Froberg - Sr SEC Product Specialist

June 27, 2023

Capital Markets Corporate Compliance

12 key roles to fill when kickstarting an IPO registration

Filing an IPO registration statement is a significant undertaking involving various individuals and entities. Regardless of size or scale of...

Toppan Merrill

June 21, 2023

Capital Markets

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...

Jennifer Froberg - Sr SEC Product Specialist

June 19, 2023

Corporate Compliance

Capital Markets

Corporate Compliance

Financial Services Regulatory Disclosure and Marketing Communications

Health Plans Member Communications

On The Dot

Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown

Updates & Insights

On The Dot

Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown

Drawing within the lines during Medicare Advantage sales presentations

The state of ESEF – Part 1: Taking stock of the first few years

Podcast: Cybersecurity risk management, strategy, governance and incident disclosure [10:54]

Medicare Advantage Special Enrollment Periods. Ready to assist enrollees with plan choices?

New N-PX reporting requirements for 13F filers (Institutional Investment Managers)

The SEC modernizes Form N-PX to require Mutual Funds to report proxy votes in XML

Crossing the finish line: Final review for your 2024 ANOCs and EOCs

Modernization of filing fee disclosures – preparing for iXBRL Beta testing in October 2023

12 key roles to fill when kickstarting an IPO registration

Important Topics Related to Insider Trading Disclosure and iXBRL Tagging

Capital Markets

Corporate Compliance

Financial Services Regulatory Disclosure and Marketing Communications

Health Plans Member Communications

On The Dot

On The Dot

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