Novaworks Weblog - DERA

SEC Proposes Amendments to Enhance Oversight of Registered Transfer Agents

nospam@example.com (LeAnn Dey) — Wed, 02 Sep 2026 14:30:00 -0400

On September 1st, the SEC proposed revisions to the rules and forms that regulate registered transfer agents, entities that represent an essential part of the US clearance and settlement framework. The rulemaking marks the first substantial update to these rules since the early 1980s. The proposal introduces new rules, amends existing requirements, modernizes significant registration and reporting forms, and rescinds one outdated rule. Continue reading "SEC Proposes Amendments to Enhance Oversight of Registered Transfer Agents"

SEC Issues Guidance on Misuse of Tagging Elements in BDCs’ Statements of Operations

nospam@example.com (LeAnn Dey) — Mon, 31 Aug 2026 15:30:00 -0400

On August 27th, the SEC’s Division of Economic and Risk Analysis (DERA) completed an assessment of the tagging in Business Development Companies’ (BDCs’) consolidated statements of operations in Forms 10-K for fiscal year 2025. In conducting this assessment, staff noted several recurring issues in the way certain income and expense line items were tagged, indicating that many filers continue to apply elements that do not align with the structure of BDC financial statements. Continue reading "SEC Issues Guidance on Misuse of Tagging Elements in BDCs’ Statements of Operations"

SEC Staff Issues Semi-Annual Report to Congress on Use of Machine-Readable Data

nospam@example.com (LeAnn Dey) — Thu, 20 Aug 2026 14:45:00 -0400

The SEC has published its semi-annual report to Congress regarding public and internal use of machine-readable data for corporate disclosures, in compliance with the Financial Data Transparency Act of 2022 (FDTA) signed into law in December 2022. The FDTA requires the SEC to submit this report to both the Committee on Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial Services of the House of Representatives every 180 days through December 23, 2029, when the provision requiring the report concludes. Continue reading "SEC Staff Issues Semi-Annual Report to Congress on Use of Machine-Readable Data"

SEC Updates Market Statistics Focusing on Strong Growth in IPO Activity

nospam@example.com (LeAnn Dey) — Wed, 08 Jul 2026 14:00:00 -0400

On July 1st, the SEC’s Division of Economic and Risk Analysis (DERA) released updated US capital‑market statistics and new interactive data visualizations. The revision includes expanded information on asset‑backed securities (ABS), municipal advisors, and additional historical data for ABS and commercial mortgage-backed securities (CMBS) issuances. Continue reading "SEC Updates Market Statistics Focusing on Strong Growth in IPO Activity"