Updates & Insights

Securities Act of 1940: Rules and requirements summary

The investment company industry relies on clear, consistent disclosures to meet the ’40 Act regulatory requirements. This guide outlines the...

Guy Stanzione - Director, SEC Compliance Services

September 24, 2025

Financial Services Investment Company Compliance

Alternate Formats and Translations: A new era for health plans in compliance and efficiency

As CMS regulations become stricter and member expectations for personalized, accessible communications rise, health plans face mounting pressure to deliver...

Meagan Strandberg - Field Marketing Manager

September 10, 2025

Health Plans

Podcast: MIC trends to watch: Advancements and innovations for 2026 [7:26]

On The Dot (episode 11) - A conversation with MIC expert Jason Barnard as he shares key trends to elevate...

Jason Barnard - Business Development Manager, Canadian Compliance

August 28, 2025

Corporate Compliance

End the manual updates: Directly link Excel® into your IPO prospectus

Manually entering and/or copying and pasting data into an IPO prospectus introduces risk and inefficient use of working group members’...

Mike Schlanger - Vice President, Solution Sales

August 28, 2025

Capital Markets

Navigating the compliance landscape for Investment Management Companies

The Investment Company Act of 1940 requires mutual funds to submit prospectuses, shareholder reports, and Form N-PX filings with the...

Toppan Merrill

August 26, 2025

Financial Services Investment Company Compliance

Automating common Capital Markets content: The smart way to manage drafts

Drafting complex financial filings is a high-stakes process in which managing common phrases and content that recur throughout the document,...

Mike Schlanger - Vice President, Solution Sales

August 21, 2025

Capital Markets

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...

Mike Spelman - Director, Proxy Solutions

August 20, 2025

Corporate Compliance

Become the maestro of your capital markets transactions

Smart Share in Quinn addresses the chaos of document collaboration by offering paragraph-level control and centralized permissioning authority, transforming the...

Mike Schlanger - Vice President, Solution Sales

August 14, 2025

Capital Markets

RILA Lessons Learned: Closing the Books on the Initial N-4 Conversion Cycle

After the conclusion of the initial Form N-4 RILA conversion cycle, topics have emerged from issuers converted prior the May...

Guy Stanzione - Director, SEC Compliance Services

August 8, 2025

Financial Services

What if document edit tracking was effortless? Meet Smart Track.

Facing a scramble to find a single change in a prospectus? Manually comparing versions is a major drain on time...

Mike Schlanger - Vice President, Solution Sales

August 7, 2025

Capital Markets