What Does ‘Fair and Balanced’ Marketing Mean for Firms?
Marketing practices have evolved since the 1960s but until recently, the laws governing the advertisements of Securities and Exchange Commission...
Updates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
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 prep, cut costs, and streamline the proxy process.
Updated: August 20, 2025
The value of new member welcome kits for health plans (part 1)
Welcome kit materials should be driven by the member’s perspective from concept to final product. For government-sponsored plans specific standardized...
Why you need a content management system for your health plan marketing
Health plan marketing is no longer just about slick advertising and word of mouth in the community. Consumers today are...
SEC implies examination of websites for Rule 498A compliance
Focusing on meeting the ruling standards and the right solution, must be taken into consideration when adopting Rule 498A.
Guy Stanzione - Director, SEC Compliance Services
6 communication strategies to boost health plan member engagement
For health plans, every point of engagement with members offers an opportunity to build trust, enhance the overall customer experience...
Everything You Need to Know About Inline XBRL (iXBRL)
What is Inline XBRL? iXBRL (Inline XBRL) is a filing format that merges the aesthetic benefits of a human-readable HTML...
Closed-End Fund rule changes and instructions for SEC Form N-2 filers
The SEC adopted an expansive final rule in March 2020, Securities Offering Reform for Closed-End Investment Companies, designed to streamline...
Jennifer Froberg - Sr SEC Product Specialist
What are Capital Markets and how do they work?
Simply put, capital markets are the vehicles for capital creation. Capital markets are a financial marketplace where people or institutions...
Marketing communication for health plans
To increase member enrollment and satisfaction, having effective health planmarketing strategies to communicate with current and potential customers is necessary....
Five steps to integrate print and digital communications: integrated marketing strategy (part 2)
Firms need to find new ways to cut through the digital noise. Still, many remain heavily focused on digitization, shifting...