Updates & Insights

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...

Guy Stanzione - Director, SEC Compliance Services

May 2, 2023

Financial Services

IPO vs. direct listing is a tortoise vs. hare story

SEC filings are complex endeavors that require extensive financial disclosures and due diligence to ensure maximum transparency and investor protection...

Toppan Merrill

April 20, 2023

Capital Markets

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...

Summer Beach – Associate Director, Medicare Compliance Solutions

April 19, 2023

Health Plans

Why corporate carve-outs offer Wall Street a lifeline in bear markets

For established corporations needing cash infusions for strategic reasons, there are other innovative tools like carve-outs and spinoffs to take...

Toppan Merrill

April 12, 2023

Capital Markets

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...

Elizabeth Epler Jones, CPA - Partner, AXIA Partners

April 10, 2023

Corporate Compliance

PitchBook on ESG Developments in the Private Markets

Over the last year, we have seen unprecedented change in the Public Company Accounting Oversight Board (PCAOB) and its standards-setting...

Cadwalader Wickersham & Taft LLP

March 28, 2023

Capital Markets

Tailored Shareholder Reports: 6 things to consider before your first filing

In January 2023, the U.S. Securities and Exchange Commission (SEC) finalized new rules and amendments related to how mutual fund...

Guy Stanzione - Director, SEC Compliance Services

March 16, 2023

Corporate Compliance

Rule 10b5-1, Insider Trading: Form 4 and 5 disclosure changes and Form 144 deadline extended

Insider Trading Arrangements and Related Disclosures, a new SEC rule, implements cooling-off periods for directors and officers to minimize potentially...

Jennifer Froberg - Sr SEC Product Specialist

March 15, 2023

Capital Markets Corporate Compliance

Guidance from the SEC for new Pay versus Performance tables

The SEC staff recently issued 15 interpretations (see Sections 128D and 228D) relating to its new Pay versus Performance (PvP) rules.

Bryan Cave Leighton Paisner

March 3, 2023

Corporate Compliance

The Coming Cybersecurity/Climate Disclosure Rules: Time to Reevaluate Your Disclosure Controls?

Over the last year, we have seen unprecedented change in the Public Company Accounting Oversight Board (PCAOB) and its standards-setting...

Perkins Coie

February 27, 2023

Capital Markets