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: 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 filers can take now to be ready for the final rule.
Updated: March 17, 2026
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
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
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
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...