Navigating the new SEC Form SHO: What every 13F filer needs to know
13F filers who meet specific requirements will need to report short positions to the SEC monthly, beginning in 2028, on...
Jennifer Froberg - Sr SEC Product SpecialistSEC
Articles
Jennifer Froberg - Sr SEC Product Specialist
What are Capital Markets and how do they work?
The vehicles for capital creation, capital markets are a financial marketplace where people or institutions with capital to lend meet...
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
Streamline your proxy workflow: Drive efficiency, ensure accuracy & reduce cost
Drafting, perfecting, filing, printing and distributing an effective proxy statement is a complex, multi-step process that directly impacts regulatory compliance and shareholder confidence. It’s essential that companies choose an...
EDGAR Next is live. What’s next?
Now that the EDGAR Next enrollment compliance date has passed, what's next? Learn more about final compliance steps and additional...
Jennifer Froberg - Sr SEC Product Specialist
Ray Garrett Jr. Corporate & Securities Law Institute
The Ray Garrett Jr. Corporate and Securities Law Institute is the only Midwest conference that delivers a timely analysis of...
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
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
SEC “Hot Topics” Conference
The 24th Annual SEC "Hot Topics" Conference, "Tariffs, Taxes, and Technology" will provide regulatory updates from the SEC and FASB....
Webinar Replay: EDGAR Next: Enrolling and delegating
On March 24, 2025, the SEC launched the new Filer Management website, initiating the beginning of the EDGAR Next enrollment...