ETF issuer interest remains high even as challenges persist
Exchange Traded Funds (ETFs) have been a hot topic for years, with the discussion accelerated by the interest to expand...
Guy Stanzione - Director, SEC Compliance ServicesUpdates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
Podcast: MIC trends to watch: Advancements and innovations for 2026 [7:26]
On The Dot (episode 11) - A conversation with MIC expert Jason Barnard as he shares key trends to elevate your 2026 Management Information Circular.
Updated: October 1, 2025
Guy Stanzione - Director, SEC Compliance Services
Securities Act of 1940: Rules and requirements summary
The investment company industry relies on clear, consistent disclosures to meet the ’40 Act regulatory requirements. This guide outlines the...
Guy Stanzione - Director, SEC Compliance Services
Alternate Formats and Translations: A new era for health plans in compliance and efficiency
As CMS regulations become stricter and member expectations for personalized, accessible communications rise, health plans face mounting pressure to deliver...
Meagan Strandberg - Field Marketing Manager
Podcast: MIC trends to watch: Advancements and innovations for 2026 [7:26]
On The Dot (episode 11) - A conversation with MIC expert Jason Barnard as he shares key trends to elevate...
Jason Barnard - Business Development Manager, Canadian Compliance
End the manual updates: Directly link Excel® into your IPO prospectus
Manually entering and/or copying and pasting data into an IPO prospectus introduces risk and inefficient use of working group members’...
Mike Schlanger - Vice President, Solution Sales
Navigating the compliance landscape for Investment Management Companies
The Investment Company Act of 1940 requires mutual funds to submit prospectuses, shareholder reports, and Form N-PX filings with the...
Automating Common Content: The Smart Way to Draft
Are you playing "Find and Replace" roulette with your critical documents? When drafting an IPO prospectus, few tasks are as...
Mike Schlanger - Vice President, Solution Sales
Podcast: Simplifying the annual proxy planning process [12:59]
On The Dot (episode 10) - A conversation with Proxy expert Mike Spelman discussing how issuers can simplify annual meeting...
Mike Spelman - Director, Proxy Solutions
Become the Maestro of your Capital Markets Transaction
Smart Share in Quinn addresses the chaos of document collaboration by offering paragraph-level control and centralized permissioning authority, transforming the...
Mike Schlanger - Vice President, Solution Sales
RILA Lessons Learned: Closing the Books on the Initial N-4 Conversion Cycle
After the conclusion of the initial Form N-4 RILA conversion cycle, topics have emerged from issuers converted prior the May...
Guy Stanzione - Director, SEC Compliance Services