SEC Rule 498A impact on variable annuity / variable universal life companies
The Securities and Exchange Commission adopted Rule 498A, including form amendments, which intends to modernize disclosure requirements and allow investors...
Updates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
Podcast: Simplifying EDGAR Next enrollment and delegation [18:34]
On The Dot (Episode 8) - A conversation with Jennifer Froberg, Gordon Ruckdeschel and Jon Regan discussing the EDGAR Next enrollment and delegation process.
Updated: May 27, 2025
5 tips to reduce frustration with your ANOC & EOC’s
There are so many products and solutions to choose from when it comes to increasing workflow efficiencies for your mandated...
FAST Act modernization rule: Highlights for investment companies
On May 2, 2019 the SEC Fixing America’s Surface Transportation Act (FAST Act) Modernization Rule became effective. While most of...
SEC Rule 30e-3 is now effective
As of January 1, 2019, Rule 30e-3 officially became effective. Rule 30e-3 creates an optional “notice and access” method for...
Consequences and penalties for late SEC regulatory filings and common errors
A study reported by The Wall Street Journal in September 2018 shows an uptick in corporate financial restatements during the...