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On The Dot

Regulatory disclosure and compliant communications - direct from the experts.

Podcast: Cybersecurity risk management, strategy, governance and incident disclosure [10:54]

On The Dot (Episode 1) - A conversation with Jennifer Froberg, Senior SEC Product Specialist, about the new cybersecurity disclosure requirements for domestic and foreign issuers.

Updated: October 16, 2025

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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

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

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...