Financial Services

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...

Jennifer Froberg - Sr SEC Product Specialist

Gordon Ruckdeschel - Vice President, Compliance Services and Funds

Jon Regan - Director, Center of Excellence

May 8, 2025

Lead the pack: Don’t underestimate the power of accessibility

When it comes to communicating with your customers, don’t underestimate the power of accessibility. It can enhance your brand and...

Gary Iverson - Global Composition and Accessibility Director

April 21, 2025

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

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

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

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

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

Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown [9:31]

On The Dot (Episode 7) - A conversation with Guy Stanzione discussing the highs, the lows, and questions to be...

Guy Stanzione - Director, SEC Compliance Services

October 1, 2024

The impact of SEC rulemaking on Business Development Companies

In March 2020, the SEC adopted rules modernizing disclosure and the offering process for Closed-End Funds (CEF) and Business Development...

Guy Stanzione - Director, SEC Compliance Services

August 21, 2024

Perspective from when airport systems went down and confusion unfolded. Life’s twists and turns can teach us valuable ADA lessons.

Understanding the importance of accessibility will help benefit your investors and customers. Learn how the airline's software malfunction can show...

Gary Iverson - Global Composition and Accessibility Director

August 15, 2024