SEC

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

Important Update: After-hours filings status change for fee bearing submissions effective September 16, 2024

The SEC has issued an update regarding a status change for after-hours fee-paying filings, which will take effect in September...

Theresa Jasper - Senior SEC Product Specialist

October 14, 2024

Schedule 13D and Schedule 13G: Key challenges and considerations for the XML mandate

The new SEC mandate requiring Schedule 13D and 13G filings to be submitted in an XML format, effective December 18,...

Eva Schaeffer

October 9, 2024

Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown

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

Ray Garrett Jr. Corporate & Securities Law Institute

Now in its 44th year, the Ray Garrett Jr. Corporate and Securities Law Institute is the only Midwest conference that...

Linda Cameron

August 20, 2024

SEC “Hot Topics” Conference

The 23rd Annual SEC "Hot Topics" conference, "Cyber, Crime, and Climate: Are You Ready?" will provide regulatory updates from the...

Linda Cameron

July 30, 2024

Innovation with purpose: How Bridge saves you more time and effort

Toppan Merrill Bridge continues to deliver the most intuitive and efficient workflow for external reporting professionals, freeing teams to prepare...

Chase Bongirno - Director of Product Management

July 16, 2024

7 Things to Do When You Change a Company’s Name (With the SEC & Otherwise)

In a blog posted on June 13, 2024, Ben Dale, from the law firm Perkins Coie, discusses 7 key factors...

Perkins Coie

June 27, 2024