Navigating the annual proxy season
Proxy season is a critical time for companies and investors. Understanding key trends, regulatory updates, and best practices can help...
Mike SpelmanUpdates & Insights
Mike Spelman
Lead the pack: Don’t underestimate the power of accessibility
When it comes to communicating with your customers, don’t underestimate the power of accessibility. It can enhance your brand and...
Gary Iverson
The annual do’s and don’ts…when planning your annual meeting
Issuers preparing for their proxy campaign can benefit from a comprehensive checklist that covers essential steps in planning, cost management,...
Mike Spelman
Important updates from the SEC on EDGAR Next enrollment requirements and bulk enrollment
Theresa Jasper shares an overview of the recent SEC announcement on changes to the EDGAR Next enrollment requirements.
Theresa Jasper - Senior SEC Product Specialist
How to navigate Forms 10-K, 10-Q, 20-F, 40-F, 8-K and 6-K
Understand the significance of Form 10-K, 10-Q, 20-F, 40-F, 8-K and 6-K, and how they shape the story of a...
EDGAR Next Frequently Asked Questions
Filers can begin EDGAR Next enrollment on March 24, 2025. The deadline to enroll and comply with the mandate is...
Managing the Complexities of Medicare Advantage Letter Programs
Medicare Advantage Health Plans send several letter programs to their members to ensure they effectively communicate all plan needs. while...
Jen Trewick - Principal Product Manager
SEC Releases Web Posting Requirement Guidelines
On January 17, 2025, the SEC’s Division of Investment Management released an Accounting and Disclosure Information (ADI) providing web posting...
Guy Stanzione - Director, SEC Compliance Services
SEC Releases 2025 Names Rule FAQs
On December 11, 2023, the SEC amended the Investment Company Names Rule to address certain broad categories of investment company...
Guy Stanzione - Director, SEC Compliance Services
Discussing Tailored Shareholder Report Common Issues
The Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) is responsible for reviewing fund disclosures. During the monitoring...
Guy Stanzione - Director, SEC Compliance Services