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On The Dot

Regulatory disclosure and compliant communications - direct from the experts.

Podcast: ETF issuer interest remains high [14:04]

On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors are drawn to ETFs for their relatively low cost, intraday tradability, transparency, tax efficiency, and exposure to specific markets or strategies.

Updated: December 18, 2025

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The annual do’s and don’ts…when planning your annual meeting

Issuers preparing for their proxy campaign can benefit from a comprehensive checklist that covers essential steps in planning, cost management,...

Mike Spelman - Director, Proxy Solutions

April 16, 2025

Corporate Compliance

Important updates from the SEC on EDGAR Next enrollment requirements and bulk enrollment

Theresa Jasper shares an overview of the recent SEC announcement on changes to the EDGAR Next enrollment requirements.

Theresa Jasper - Senior SEC Product Specialist

March 24, 2025

Corporate Compliance SEC Updates and Alerts

How to navigate Forms 10-K, 10-Q, 20-F, 40-F, 8-K and 6-K

Understand the significance of Form 10-K, 10-Q, 20-F, 40-F, 8-K and 6-K, and how they shape the story of a...

Toppan Merrill

March 19, 2025

Corporate Compliance

EDGAR Next Frequently Asked Questions

Filers can begin EDGAR Next enrollment on March 24, 2025. The deadline to enroll and comply with the mandate is...

Toppan Merrill

February 12, 2025

Corporate Compliance Financial Services

Managing the Complexities of Medicare Advantage Letter Programs

Medicare Advantage Health Plans send several letter programs to their members to ensure they effectively communicate all plan needs. while...

Jen Trewick - Principal Product Manager

February 5, 2025

Health Plans

SEC Releases ADI Addressing Web Posting Guidelines in Support Summary Prospectus Rule 498 and Rule 498A

On January 17, 2025, the SEC’s Division of Investment Management released an Accounting and Disclosure Information (ADI) providing web posting...

Guy Stanzione - Director, SEC Compliance Services

January 29, 2025

Financial Services

SEC Releases 2025 Names Rule FAQs

On December 11, 2023, the SEC amended the Investment Company Names Rule to address certain broad categories of investment company...

Guy Stanzione - Director, SEC Compliance Services

January 21, 2025

Financial Services

Discussing Tailored Shareholder Report Common Issues

The Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) is responsible for reviewing fund disclosures. During the monitoring...

Guy Stanzione - Director, SEC Compliance Services

January 7, 2025

Financial Services