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Wednesday, February 23. 2022

SEC Announces Proposal to Reduce Risks in Clearance and Settlement

On February 9th, the SEC announced that it is proposing new rules and amendments intended to protect investors by reducing risks in the clearance and settlement of securities. The revisions would increase operational efficacy by shortening time between the execution of securities transaction and its settlement. The proposed rule would decrease the standard settlement cycle for the majority of broker-dealer transactions from two business days after the trade date (“T+2”) to one business day after the trade date (“T+1”).

Continue reading "SEC Announces Proposal to Reduce Risks in..." »
Posted by
LeAnn Dey
in Investment Management, Investor Education, SEC at 11:13

Tuesday, February 22. 2022

SEC Proposes New Rules to Boost Private Fund Investor Protection

On February 9th, the SEC announced that it is proposing new rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) to improve the oversight of private funds and their advisers in the $18-trillion marketplace.

Continue reading "SEC Proposes New Rules to Boost Private Fund..." »
Posted by
LeAnn Dey
in SEC at 09:46

Monday, February 21. 2022

SEC Proposes Amendments to Update Beneficial Ownership Reporting

The SEC announced on February 9th that it is proposing to amend certain rules that govern beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The rules would enhance disclosure requirements, reduce information imbalances and provide more timely information to meet the needs of investors and the market.

Continue reading "SEC Proposes Amendments to Update Beneficial..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 16:58

SEC Announces Temporary Pause to EDGAR Beta Access for EDGAR Next Beginning March 1

The EDGAR Business Office (EBO) has announced that on March 1, 2022, it will temporarily suspend the use of the EDGAR beta environment (EDGAR Beta) for testing of EDGAR Next code and to deploy code for other testing purposes. At a future date, the EBO will announce the re-deployment of EDGAR Next code in EDGAR Beta to allow filers to test possible future EDGAR Next technical changes.

Continue reading " SEC Announces Temporary Pause to EDGAR Beta..." »
Posted by
LeAnn Dey
in EDGAR News, Filing Technology, SEC at 14:14

SEC Announces Reopening of Comment Period for Pay Versus Performance

The SEC has reopened the comment period on 2015 proposed rules under the Dodd-Frank Act (Act) requiring disclosure of information that reflects the relationship between the actual executive compensation paid by a company and the company's financial performance. The SEC is assessing whether additional performance measures might better reflect the Congressional objectives detailed in the Act. This is especially significant considering the value of and the need for dispensing information regarding executive compensation to investors. Should the proposed rule be adopted, it would improve the quality of executive compensation disclosure practices and provide shareholders with information needed to evaluate a company’s executive compensation policies.

Continue reading "SEC Announces Reopening of Comment Period for..." »
Posted by
LeAnn Dey
in SEC at 12:13

Monday, February 14. 2022

SEC Provides Guidance Regarding Proper Tagging for Finance Lease Liability, Future Payments, and Excess Amount of the Future Payments Over the Finance Lease Liability

The SEC’s Division of Economic and Risk Analysis (DERA) has observed that some filers are not appropriately tagging disclosures about their finance lease liability, undiscounted future lease payments, and the excess amount of the undiscounted future lease payments over the finance lease liability (for example, imputed interest). DERA is providing guidance to filers to address some of this mistakes. Continue reading "SEC Provides Guidance Regarding Proper Tagging..." »
Posted by
LeAnn Dey
in DERA, SEC Filing Help, US GAAP Taxonomy at 10:03

Friday, February 11. 2022

SEC Advises on Filing Agent/Filer Software Adjustment for Upcoming EDGAR Change

The SEC has announced that on or about April 4th, it will introduce a change to the EDGAR filing websites (EDGAR Link Online and Online Forms) that will affect the way certain third-party software may communicate with these websites. EDGAR will develop a unique parameter that some third-party software products may need to include in each request that enters/updates data. EDGAR will both verify the existence and validity of the parameter in filers’ requests and end user sessions if the value of the parameter is missing or mismatched. Continue reading "SEC Advises on Filing Agent/Filer Software..." »
Posted by
LeAnn Dey
in EDGAR News, Filing Technology, SEC, SEC Filing Help at 11:34

SEC Proposes Rule Amendments for Investor Protections in Communication Protocol Systems and ATSs

On January 26th, the SEC proposed rules to enhance investor protections and improve cybersecurity by bringing more Alternative Trading Systems (ATS) that trade treasuries and other government securities under the regulatory heading. This proposal builds upon the September 2020 proposal for ATSs and feedback received in response to that proposal. The SEC is also re-proposing amendments to Registration Systems Compliance and Integrity (Regulation SCI) to apply it to ATSs that meet certain volume thresholds in US Treasury Securities or Agency Securities. Continue reading "SEC Proposes Rule Amendments for Investor..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 09:20

Wednesday, February 09. 2022

FERC Updates eForms Refresh

On February 2nd, the FERC announced that drafts of the Release 2.0 Taxonomies may now be accessed in the Vendor File Library under Quick Links on the FERC’s eForms Refresh webpage. The final Release 2.0 taxonomies will be available to test and submit official filings in the eCollection portal beginning February 17, 2022. Release 2.0 taxonomies, validation rules, and rendering files must be used when filing 2021 FERC Form Nos. 1, 1-F, 2, 2-A, 6, 60, and 714. Continue reading "FERC Updates eForms Refresh" »
Posted by
LeAnn Dey
in eForms News, FERC, FERC Filing Help at 09:20

Tuesday, February 08. 2022

FERC, NARUC to Hold Second Joint Task Force Meeting

The Joint Federal-State Task Force on Electric Transmission (Task Force) has announced that its upcoming meeting will be held on Wednesday, February 16th, from 10:00 a.m. to 2:00 p.m. ET. {expires: 2022-02-17} Continue reading "FERC, NARUC to Hold Second Joint Task Force..." »
Posted by
LeAnn Dey
in Events, FERC at 09:48

Monday, February 07. 2022

SEC Releases Annual Staff Report on Nationally Recognized Statistical Rating Organizations

On January 31th, the SEC issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), as required by Section 6 of the Credit Rating Agency Reform Act of 2006 and Section 15E(p)(3)(C) of the Securities Exchange Act of 1934.

Continue reading "SEC Releases Annual Staff Report on Nationally..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 10:56

SEC to Host Small Business Capital Formation Advisory Committee Web Meeting

The SEC has announced that its Small Business Capital Formation Advisory Committee will hold a remote meeting to discuss matters related to the rules and regulations affecting small and emerging companies and their investors under the federal securities laws. The free webcast will take place on Thursday, February 10, 2022, from 10:00 a.m. to 4:00 p.m. ET. The event is open to the public and will be presented live on sec.gov. {expires: 2022-02-10} Continue reading "SEC to Host Small Business Capital Formation..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 09:10

Wednesday, February 02. 2022

SEC Announces Proposed Updates to Private Fund Reporting Requirements

On January 26th, the SEC voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments would amend reporting requirements for large private equity advisers and large liquidity fund advisors. Continue reading "SEC Announces Proposed Updates to Private Fund..." »
Posted by
LeAnn Dey
in SEC at 09:30

Friday, January 28. 2022

The Divisions of Corporation Finance and Investment Management Provide Guidance Regarding the Use of Paper “Courtesy Copies”

The Divisions of Corporation Finance and Investment Management receive paper “courtesy copies” of materials from many individuals and entities when they file or submit via EDGAR, email, online form or other electronic methods of communication. Registrants frequently send marked copies of amendments to registration statements or copies of electronically filed registration statements showing modifications from previously submitted or filed versions. Continue reading "The Divisions of Corporation Finance and..." »
Posted by
LeAnn Dey
in Corporation Finance, Investment Management, SEC Filing Help at 13:25

XBRL US to Hold Virtual Data Quality Committee Meeting

XBRL US’ Data Quality Committee (DQC) will host a virtual meeting for industry leaders to further engage in discussions and plans to establish rules and guidance for public corporations complying with the SEC’s XBRL requirements. The webinar will take place on Wednesday, March 23, 2022, from 9:00 a.m. to 12:00 p.m. EST. {expires: 2022-03-24} Continue reading "XBRL US to Hold Virtual Data Quality Committee..." »
Posted by
LeAnn Dey
in Data Quality Committee, Events, SEC, SEC Filing Help, XBRL at 07:40
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