Financial Services

Beyond SEC compliance: Building a smarter document accessibility program

Accessibility has evolved beyond a compliance requirement. As organizations expand digital communications and increase electronic delivery, accessibility has become an...

Gary Iverson - Global Composition and Accessibility Director

August 6, 2026

Reducing SEC compliance risk with automated document distribution workflows

Many providers of retirement plans, IRAs and 403(b) plans, variable product issuers, intermediaries and plan sponsors still rely on fund...

Guy Stanzione - Director, SEC Compliance Services

July 28, 2026

RILA: The next steps for compliance

After the conclusion of the initial conversion cycle for the use of amended Form N-4, topics emerged from issuers that...

Guy Stanzione - Director, SEC Compliance Services

March 16, 2026

Beyond technology: The discipline behind exceptional SEC filings

Regulatory disclosure is complex and constantly evolving. SEC filers need a partner with deep expertise, a disciplined process and responsive...

Al Cutrone - Client Services, Vice President

February 27, 2026

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...

Guy Stanzione - Director, SEC Compliance Services

December 1, 2025

ETF issuer interest remains high even as challenges persist

Exchange Traded Funds (ETFs) have been a hot topic for years, with the discussion accelerated by the interest to expand...

Guy Stanzione - Director, SEC Compliance Services

September 25, 2025

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

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

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

EDGAR Next for ’40 Act filers

On Sept. 27, 2024, the SEC announced the EDGAR Next final rule which significantly impacts all SEC filers. Filers began...

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

May 20, 2025