Clarifying SEC Form 144 filing requirements
Understanding the complexities of selling securities, particularly restricted and controlled securities, can be challenging. Although Form 144 is crucial for...
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
How to choose the best SEC filing agent for an IPO
“Going public” offers private companies powerful growth opportunities — but also comes with a host of responsibilities to meet including...
What is SEDAR+?
The new platform is designed to better support how issuers, SEDAR+ filing agents and data consumers file, disclose and access...
CMS Changes the Definition of Marketing
We’ve heard the saying, “history repeats itself.” This rings true with yet another Centers for Medicare & Medicaid Services (CMS)...
Summer Beach – Associate Director, Medicare Compliance Solutions
Debunking the Classic Myths Surrounding CMS Star Ratings
Over the last year, we have seen unprecedented change in the Public Company Accounting Oversight Board (PCAOB) and its standards-setting...
Summer Beach – Associate Director, Medicare Compliance Solutions
How the new SEC Tailored Shareholder Report rule impacts your EDGAR filing
The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes like...
Guy Stanzione - Director, SEC Compliance Services
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
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...
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
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...