Monday, February 06. 2023

SEC Issues Reminder of Upcoming Form 144 Electronic Filing Compliance Deadline

The SEC has reminded affected filers about the April 13, 2023 compliance deadline for transitioning from paper filing to electronic filing for Form 144. In accordance with the SEC’s June 2022 adopted amendments concerning EDGAR filing requirements, certain Form 144 filings must be made on the SEC’s EDGAR system, for which filers must ensure that they have an account. The electronic filing requirement applies to all Form 144 filings except for related to securities of issuers that do not file 1934 Act reports with the SEC on EDGAR. Continue reading "SEC Issues Reminder of Upcoming Form 144..." »
Posted by
LeAnn Dey
in Novaworks News, SEC, SEC Filing Help at 17:02

SEC’s Small Business Advisory Committee to Discuss Capital Raising in 2023

The SEC’s Small Business Capital Formation Advisory Committee will hold a meeting on Tuesday, February 7, 2023, from 10:00 a.m. to 3:30 p.m. ET. The Committee will address matters related to facilitating start-up creation and growth by discussing what makes entrepreneurial communities work effectively. Members of the public may join the live meeting via webcast on sec.gov. {expires: 2023-02-08} Continue reading "SEC’s Small Business Advisory Committee to..." »
Posted by
LeAnn Dey
in Events, SEC at 07:10

Wednesday, February 01. 2023

SEC’s Division of Corporation Finance Updates Financial Reporting Manual and Exchange Act Rules, Forms

On January 31st, the SEC announced that it has updated sections of its Division of Corporation Finance Financial Reporting Manual, as well as the Exchange Act Rules and Exchange Act Forms. Continue reading "SEC’s Division of Corporation Finance Updates..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 11:00

Tuesday, January 31. 2023

SEC Proposes Revisions to Ethics Rules Regulating Securities Trading by Employees, Solicits Feedback

On January 30th, the SEC, in conjunction with the Office of Government Ethics, proposed amendments to the SEC’s ethics rules to enhance, revise and improve the overall efficacy of the agency’s ethics compliance program. More specifically, the proposed amendments would add new requirements and prohibitions to the existing program, which includes particularly strict ethics requirements within the executive branch for all SEC employees and their immediate families. Continue reading "SEC Proposes Revisions to Ethics Rules..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 07:00

Friday, January 27. 2023

SEC Revises and Re-proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations

On January 25th, the SEC announced that it is updating and re-proposing rules initially proposed in 2011 that would prohibit conflicts of interest in certain securitization transactions, as required by Congress. The Dodd-Frank Wall Street Reform and Consumer Protection Act added new Section 27B to the Securities Act to reintroduce and clarify the original proposed rules and to require the SEC to issue rules to implement the prohibition and related exceptions. Continue reading "SEC Revises and Re-proposes Rule to Prohibit..." »
Posted by
LeAnn Dey
in SEC at 14:20

Wednesday, January 25. 2023

FERC Enhances Reliability Standards for Monitoring Electric Grid Cyber Systems

On January 19th, the FERC approved rules to improve the cybersecurity of the grid by issuing several directives to the North American Electric Reliability Corporation (NERC). Under the new rules, the NERC is required to develop and submit reliability standards for FERC approval that would require internal network security monitoring (INSM) for both medium-impact systems with high-speed internet connections and high-impact bulk electric system (BES) cyber systems with external routable connectivity. Continue reading "FERC Enhances Reliability Standards for..." »
Posted by
LeAnn Dey
in FERC at 09:03

Monday, January 23. 2023

SEC Issues Fee Rate Advisory #2 for Fiscal Year 2023

On January 23rd, the SEC announced that it has established new fee rates in accordance with Section 31 of the Securities Exchange Act of 1934. The fee rates that apply to most securities transactions will be set at $8.00 per million dollars and will go into effect on February 27th. The rate each self-regulatory organization is required to pay the SEC will remain $22.90 per million dollars for covered sales occurring on charge dates through February 26th. For more information on the charge date, refer to Rule 31(a)(3) and Exchange Act Release No. 49928 on the SEC’s website. Continue reading "SEC Issues Fee Rate Advisory #2 for Fiscal Year..." »
Posted by
LeAnn Dey
in Investment Management, SEC at 15:13

Friday, January 20. 2023

SEC’s Small Business Advocate to Hold Annual Capital Call

The SEC’s Office of the Advocate for Small Business Capital Formation will host its annual Capital Call on Tuesday, January 24, 2023, beginning at 1:00 p.m. EST. The event is free, open to the public, but registration is required to join the discussion and ask questions live during the webcast. Those planning to attend may also submit questions in advance via email to smallbusiness@sec.gov. {expires: 2023-01-25} Continue reading "SEC’s Small Business Advocate to Hold Annual..." »
Posted by
LeAnn Dey
in Events, SEC at 09:20

Thursday, January 19. 2023

SEC Staff to Hold Open Meeting to Discuss Prohibition Against Conflicts of Interest in Certain Securitizations

The SEC’s Division of Corporation Finance will hold a meeting via webcast to consider whether to propose a new rule to implement Section 27B of the Securities Act of 1933, as added by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The meeting is free, open for the public to attend, and will take place on Wednesday, January 25, 2023, at 10:00 a.m. ET. The meeting will be webcast on the SEC’s website at sec.gov. {expires: 2023-01-26} Continue reading "SEC Staff to Hold Open Meeting to Discuss..." »
Posted by
LeAnn Dey
in Events, SEC at 11:08

XBRL US to Host Webinar: Government Financial Reporting – Data Standards and the Financial Data Transparency Act

XBRL US staff is holding a webinar to help government agencies comply with the Financial Data Transparency Act (FDTA) requirement that financials be prepared in machine-readable format. The session is designed to clarify for government issuers the purpose for the legislation and its effect on government entities. The one-hour webinar will take place on Tuesday, January 24, 2023, and will begin at 3:00 p.m. ET. The event is free and open to the public, but registration is required. {expires: 2023-01-25} Continue reading "XBRL US to Host Webinar: Government Financial..." »
Posted by
LeAnn Dey
in Events, XBRL at 08:58

Tuesday, January 17. 2023

SEC Releases Annual Report on Website Modernization

In December 2022, the SEC released its annual report on existing SEC websites or digital services under Section 3(d) of the 21st Century Integrated Digital Experience Act of 2018. The report suggests that EDGAR Next program may be delayed. Continue reading "SEC Releases Annual Report on Website..." »
Posted by
LeAnn Dey
in EDGAR News, SEC at 15:01

Friday, January 13. 2023

Birthday of Martin Luther King, Jr.

The SEC will be closed Monday, January 16th in observance of Martin Luther King, Jr.’s birthday. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of January 16th will be due the following business day, Tuesday, January 17th. The FERC will also be closed in observance of the federal holiday. eForms will accept filings submitted on January 16th. {expires: 2023-01-17} Continue reading "Birthday of Martin Luther King, Jr." »
Posted by
LeAnn Dey
in FERC, Novaworks News, SEC at 15:25

XBRL US to Discuss Solutions to Common Issues in XBRL Preparation

XBRL US will be hosting a webinar to help corporate issuers who are faced with many choices working with the XBRL US GAAP Taxonomy when submitting financials to the SEC. The one-hour webinar will take place on Tuesday, February 7, 2023, and will begin at 3:00 p.m. ET. The event is free and open to the public, but registration is required. {expires: 2023-02-08} Continue reading "XBRL US to Discuss Solutions to Common Issues..." »
Posted by
LeAnn Dey
in Events, SEC Filing Help, US GAAP Taxonomy, XBRL at 09:01

Thursday, January 12. 2023

XBRL US to Hold Webinar on Digitizing Environmental Social Governance (ESG) Disclosures

XBRL US will host a webinar for international investors who have global portfolios and are seeking reliable, consistently reported data from companies concerning climate and other Environmental Social Governance (ESG) matters. The one-hour webinar will take place on Thursday, February 2, 2023, and will begin at 1:00 p.m. ET. The event is free and open to the public, but registration is required. {expires: 2023-02-04} Continue reading "XBRL US to Hold Webinar on Digitizing..." »
Posted by
LeAnn Dey
in Events, XBRL at 06:50

Monday, January 09. 2023

FERC Proposes Updates to Oil Pipeline Affiliate-Only Committed Service Policy

The FERC has proposed to update its policy for evaluating whether an affiliate-only committed service on an oil pipeline is just, reasonable, and not unduly discriminatory. The FERC is reviewing the manner in which it analyzes whether a contractually committed transportation service for an oil pipeline is in compliance with the Interstate Commerce Act (ICA) when the only shipper to obtain the service is the oil pipeline’s affiliate. Continue reading "FERC Proposes Updates to Oil Pipeline..." »
Posted by
LeAnn Dey
in FERC at 18:08
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