On January 7th, the SEC announced that it is amending rules that would require electronic filing or submission of certain forms that must be filed with or submitted to the SEC pursuant to the Securities Exchange Act and the rules and regulations under the Exchange Act. These changes apply to certain forms filed or submitted by self-regulatory organizations (SROs).
The adopted rules implement the following changes:
- issuers must file electronically to the SEC via its EDGAR system using a structured, machine-readable data language when appropriate. For more information, please see the Amendments Regarding the FOCUS Report final rule.
- information currently contained in Form 19b-4(e) must publicly be posted on the SRO’s website using the current versions of the XML schema and the related PDF renderer as published on the SEC’s website and remove the manual signature requirements for SRO proposed rule change filings
For further details on the draft version of the NDSP XML Schema, Renderer, Sample Report (updated 1/7/2025) and Technical Specifications (updated 1/7/2025), please visit the SEC’s website.
Interested parties may email related technical feedback to StructuredData@sec.gov through 4 p.m. (EST) February 10, 2025, with “Draft 2025 NDSP XML Schema” as the subject.
Source:
DRAFT of New Derivatives Securities Product (NDSP) report (sec.gov)
