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On The Dot

Regulatory disclosure and compliant communications - direct from the experts.

Podcast: ETF issuer interest remains high [14:04]

On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors are drawn to ETFs for their relatively low cost, intraday tradability, transparency, tax efficiency, and exposure to specific markets or strategies.

Updated: December 18, 2025

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SEC FAQ: Binding individual shareholder reports of multiple funds addressed

On Friday, January 19, 2024, SEC staff of the Division of Investment Management published “Frequently Asked Questions” related to Tailored...

Guy Stanzione - Director, SEC Compliance Services

January 31, 2024

Financial Services

Corp Fin Continues to Issue “Climate Change” Comments

By Allison Handy on January 25, 2024 As we continue to wait for the SEC to adopt final climate disclosure rules, Corp Fin...

Perkins Coie

January 30, 2024

Corporate Compliance

Podcast: TSR ready. Are you absolutely sure? Tackling the SEC filing challenges. [9:01]

On The Dot (Episode 5) - A conversation with Guy Stanzione and Gordon Ruckdeschel about the SEC Tailored Shareholder Reports...

Guy Stanzione - Director, SEC Compliance Services

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

January 25, 2024

Financial Services

SEC publishes 5 TSR FAQs: what every filer needs to know

Learn more about the recently released TSR FAQs published by the SEC.

Guy Stanzione - Director, SEC Compliance Services

January 22, 2024

Financial Services

Podcast: TSR ready. Are you absolutely sure? Tackling the print and distribution challenges. [9:31]

On The Dot (Episode 4) - A conversation with Guy Stanzione about the SEC Tailored Shareholder Reports mandate and tackling...

Guy Stanzione - Director, SEC Compliance Services

January 8, 2024

Financial Services

Podcast: Why Every SEC Filer Needs to Prepare for EDGAR Next Now [9:07]

On The Dot (Episode 3) - A conversation with Gordon Ruckdeschel about the EDGAR Next proposal and the steps SEC...

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

January 4, 2024

Corporate Compliance Financial Services

Corp Fin Director Erik Gerding Speaks on Cyber Incident Disclosure

On December 18, 2023, public companies were required to begin reporting any material cybersecurity incident under the final SEC rule....

Perkins Coie

January 3, 2024

Corporate Compliance

What to consider when looking for Evidence of Coverage software solutions

Having the right solution for EOCs can help ensure your plan meet the CMS deadlines. Get an understanding of solution...

Jen Trewick - Principal Product Manager

December 13, 2023

Podcast: What are the early benefits of EDGAR Next? [9:23]

On The Dot (Episode 2) - A conversation with Jennifer Froberg about the SEC’s EDGAR Next proposal designed to improve...

Jennifer Froberg - Sr SEC Product Specialist

December 8, 2023

Corporate Compliance Financial Services

The state of ESEF – Part 2: What is next for ESEF?

In this second blog of a three-part ESEF series, Danny Northey, Bartek Czajka and Martin Lorentsson share their thoughts on...

Toppan Merrill

November 9, 2023

Corporate Compliance