Both the SEC and the FERC will be closed Thursday, November 23rd in observance of Thanksgiving. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of November 23rd will be due the following business day. eForms will accept filings submitted on November 23rd. {expires: 2023-11-27} Continue reading "Thanksgiving" »

On November 14th, the SEC published the 2024 Peak Filing Volume Dates for EDGAR filings. To help filers avoid missing deadlines and to reduce online traffic around crucial filing dates, the SEC releases a filing schedule detailing when it expects to receive the highest volume of EDGAR filings. The 2024 Peak Filing schedule is now available on the SEC’s EDGAR Calendar webpage. Continue reading "SEC Releases 2024 Peak Filing Volume Dates for..." »

The SEC will be closed Friday, November 10th, in observance of Veterans Day. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of November 10th will be due the following business day. The FERC will also be closed in observation of Veterans Day. eForms will accept filings submitted on November 10th. {expires: 2023-11-12} Continue reading "Veterans Day" »

On November 2nd, the SEC adopted Regulation SE under the Securities Exchange Act of 1934, which establishes the process for an entity to register with the SEC as a security-based swap (SBS) execution facility (collectively, SBSEF) and introduces a new form required for registration. The adopted regime is one of a number of major reforms required under Title VII of the Dodd-Frank Act, which is the legislation that improved transparency and oversight of the over-the-counter derivatives market by requiring the SEC to employ a regulatory framework for SBSs that requires the registration and regulation of SBSEFs. Continue reading "SEC Approves Rules to Reform Registration and..." »