Updates & Insights

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

iXBRL tagging of cybersecurity disclosures in SEC filings enhances transparency 

In 2023, the SEC adopted a final rule requiring public companies to provide specific disclosures regarding their material cybersecurity incidents...

Jennifer Froberg - Sr SEC Product Specialist

December 20, 2024

Corporate Compliance

Are you already preparing for the next AEP season?

Creating documents for health plan member communications can be chaotic. This year was no exception when the models dropped for...

Jen Trewick - Principal Product Manager

December 18, 2024

Health Plans

Redefining proxy design: How W&T Offshore moved the needle as a finalist for the 2024 Best Proxy Statement (Small Cap) award

W&T Offshore, Inc. is highlighted for being a finalist for the 2024 Best Proxy Statement (Small Cap) award, showcasing their...

Mike Spelman - Director, Proxy Solutions

November 8, 2024

Corporate Compliance

Why Notice and Access (N&A) can end up costing more — and yield lower voting results

When the SEC introduced Notice and Access (N&A), the goal was to cut printing and postage costs while simplifying the...

Mike Spelman - Director, Proxy Solutions

October 30, 2024

Corporate Compliance

Medicare, Medicaid & Mental Health: understanding CMS’s new behavioral health strategy

As mental health care access becomes an even greater priority, CMS recently implemented a new comprehensive behavior health strategy. Learn...

April Chambers - Healthcare Service Technology Manager

October 30, 2024

Health Plans

What is the purpose of the Management Information Circular in Canada?

The Management Information Circular (MIC) plays an important role in Canadian corporate governance, serving purposes beyond regulatory requirements. The MIC...

Jason Barnard - Business Development Manager, Canadian Compliance

October 18, 2024

Corporate Compliance

EDGAR Next: How to navigate the SEC rule and requirements

On September 27, 2024, the SEC announced the EDGAR Next final rule. In this blog, Jennifer Froberg shares an overview...

Jennifer Froberg - Sr SEC Product Specialist

October 14, 2024

Corporate Compliance Financial Services