SEC Releases Web Posting Requirement Guidelines
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 ServicesSEC
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Guy Stanzione - Director, SEC Compliance 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
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
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
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
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
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
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 2025, on...
Jennifer Froberg - Sr SEC Product Specialist
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
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...