Thursday, March 23. 2023

SEC Office of Municipal Securities Publishes Staff Guidance for Registration of Municipal Advisors

On March 20th, the SEC’s Office of Municipal Securities updated its Registration of Municipal Advisors Frequently Asked Questions webpage to add a section, entitled Completion of Form MA, Form MA-I, and Form MA-NR. The addition is designed to enhance transparency and efficacy within the municipal advisor registration process and provide increased clarity to registrants. Continue reading "SEC Office of Municipal Securities Publishes..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 09:45

Wednesday, March 22. 2023

SEC Issues Report on Security-Based Swaps

On March 20th, the SEC published its Report on Security-Based Swaps - Pursuant to Section 13(m)(2) of the Securities Exchange Act of 1934. The report provides aggregated and protected sensitive data for the security-based swap (SBS) market as of the dates specified for calendar year 2022 in the report’s tables. The findings are based on information reported under SEC Regulation SBSR to the two SEC-registered Security-Based Swap Data Repositories (SBSDRs): the Depository Trust & Clearing Corporation Data Repository (DDR) and the ICE Trade Vault (ITV). Continue reading "SEC Issues Report on Security-Based Swaps" »
Posted by
LeAnn Dey
at 14:14

Tuesday, March 21. 2023

FASB to Host Webinar on 2023 GAAP/SRT and Enhancements to SEC Reporting Taxonomy

The Financial Accounting Standards Board (FASB) will host a webinar to discuss improvements made to both the 2023 GAAP Financial Reporting Taxonomy for recently published FASB Accounting Standards Updates and the 2023 SEC Reporting Taxonomy (SRT). The improvements made were based on the 2023 Taxonomy Releases, which included compiled feedback and internal analysis. The 90-minute webinar will take place on Tuesday, April 11, 2023 and will begin at 1:00 p.m. ET. {expires: 2023-04-12} Continue reading "FASB to Host Webinar on 2023 GAAP/SRT and..." »
Posted by
LeAnn Dey
in Accounting, Data Quality Committee, Events, FASB News, SEC, SEC Filing Help, US GAAP Taxonomy at 17:35

Monday, March 20. 2023

SEC’s Division of Investment Management and Division of Trading and Markets to Hold Open Meeting

The SEC’s Division of Investment Management and Division of Trading and Markets will convene a meeting to discuss enhancing private fund reporting, electronic submission of certain materials under the Securities Exchange Act of 1934, and amendments regarding the FOCUS Report. The meeting will take place on Wednesday, March 22, 2023, at 10:00 a.m. ET, and is free and open for the public to attend on sec.gov. {expires: 2023-03-23} Continue reading "SEC’s Division of Investment Management and..." »
Posted by
LeAnn Dey
in Events, SEC at 15:31

SEC Proposes Amendments to Broaden and Modify Regulation SCI

On March 15th, the SEC proposed amendments to expand the scope of entities subject to Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act and to update a number of the requirements under the regulation. The proposed amendments both consider the changes in technology and trading since the regulation was adopted in 2014 and help to enhance to strengthen the technology framework of the US securities markets. Continue reading "SEC Proposes Amendments to Broaden and Modify..." »
Posted by
LeAnn Dey
in SEC at 09:52

Friday, March 17. 2023

EDGAR Release 23.1

The SEC has announced that EDGAR 23.1 will occur on March 20, 2023.
Continue reading "EDGAR Release 23.1" »
Posted by
LeAnn Dey
in EDGAR News, SEC, SEC Filing Help, US GAAP Taxonomy at 17:43

Thursday, March 16. 2023

SEC Proposes New Requirements to Mitigate Cybersecurity Risks to the US Securities Markets

On March 15th, the SEC proposed a new rule and form as well as amendments to current recordkeeping rules that would strengthen the SEC’s ability to obtain data concerning significant cybersecurity incidents that affect market entities. The SEC is also proposing new rules regarding public disclosure requirements for covered entities that are intended to enhance transparency about the cybersecurity risks that may negatively impact the US securities markets. These disclosures would be in a structured data format. Continue reading "SEC Proposes New Requirements to Mitigate..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 17:55

SEC Reopens Comment Period for Cybersecurity Risk Management Rule Proposal, Amendments for Registered Investment Advisers and Funds

On March 15th, the SEC reopened the comment period for proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies, and business development companies. The rules and amendments were initially proposed by the SEC on February 9, 2022, with a comment period that ended on April 11, 2022. Continue reading "SEC Reopens Comment Period for Cybersecurity..." »
Posted by
LeAnn Dey
in Information Technology, Investor Education, SEC at 08:55

Wednesday, March 15. 2023

SEC Proposes Revisions to Regulation S-P to Improve Protection of Consumer Information

On March 15th, the SEC proposed enhancements to Regulation S-P, the regulation which protects the privacy of consumer financial information. The proposed changes would require covered institutions (broker-dealers, investment companies, registered investment advisers, and transfer agents) to keep affected individuals apprised of certain types of data breaches that may put them at risk. Continue reading "SEC Proposes Revisions to Regulation S-P to..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 15:08

Monday, March 13. 2023

XBRL US Staff to Hold Data Quality Committee Web Conference

XBRL US’ Data Quality Committee (DQC) will host an online meeting for industry leaders to discuss plans to implement rules and guidance for public companies complying with the SEC’s XBRL requirements. The one-hour webinar will take place on Tuesday, March 21, 2023 and will begin at 12:00 p.m. ET. {expires: 2023-03-22} Continue reading "XBRL US Staff to Hold Data Quality Committee..." »
Posted by
LeAnn Dey
in Data Quality Committee, SEC, XBRL at 16:30

FERC to Hold March Open Commission Meeting

The FERC staff will hold its monthly open meeting via webcast on ferc.gov on Thursday, March 16, 2023, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2023-03-17} Continue reading "FERC to Hold March Open Commission Meeting" »
Posted by
LeAnn Dey
in Events, FERC at 10:55

Friday, March 10. 2023

SEC Staff to Hold Open Meeting on Regulations S-P and SCI, Cybersecurity Risk Management Rule

The SEC’s Division of Investment Management and Division of Trading and Markets will hold an open meeting via webcast on sec.gov to address matters related to Regulation S-P, the Cybersecurity Risk Management Rule, and Regulation SCI. The meeting will take place on Wednesday, March 15, 2023 at 10:00 a.m. ET, and is free and open for the public to attend. {expires: 2023-03-16} Continue reading "SEC Staff to Hold Open Meeting on Regulations..." »
Posted by
LeAnn Dey
in Events, SEC at 15:10

Wednesday, March 08. 2023

FERC Adopts New Extreme Cold Weather Reliability Standards

The FERC has adopted two new extreme cold weather reliability standards intended to implement key recommendations from the joint inquiry into 2021’s Winter Storm Uri to prevent severe power outages like those that affected millions of customers in Texas and the South Central states. Continue reading "FERC Adopts New Extreme Cold Weather..." »
Posted by
LeAnn Dey
in FERC, Investor Education at 17:03

SEC Updates PAUSE List of Firms Using Misleading Information to Solicit Investors

On March 7th, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors. This update includes 96 soliciting entities, three impersonators of real firms, and five bogus regulators. Continue reading "SEC Updates PAUSE List of Firms Using..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 08:20

Tuesday, March 07. 2023

SEC Releases New Draft EDGAR Filer Manual for EDGAR 23.1

The SEC has announced that it has released its draft of the EDGAR® Filer Manual, Volume II: “EDGAR Filing” (Version 65). This draft Volume II of the EDGAR Filer Manual is accessible to filers in anticipation of feedback, and to help issuers prepare for potential modifications to the EDGAR system detailed in the draft and scheduled to be implemented in EDGAR Release 23.1 on March 20, 2023. Continue reading "SEC Releases New Draft EDGAR Filer Manual for..." »
Posted by
LeAnn Dey
in EDGAR News, SEC, SEC Filing Help, US GAAP Taxonomy at 15:16
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