Friday, February 24. 2023

SEC Adopts Rules to Reduce Risks in Clearance and Settlement

The SEC has adopted final rules related to the duration of the standard settlement cycle for most broker-dealer transactions, as well as the processing of institutional trades by broker-dealers and certain clearing agencies. Additionally, the SEC is amending certain recordkeeping requirements applicable to registered investment advisers. Continue reading "SEC Adopts Rules to Reduce Risks in Clearance..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 11:33

Tuesday, February 21. 2023

FASB Proposes GAAP Taxonomy Reference Style Guide, Solicits Feedback

On February 15th, the Financial Accounting Standards Board (FASB) published a proposed GAAP Taxonomy Reference Style Guide and updated the GAAP Frequently Asked Questions (FAQ) section to include new guidance on tagging. Continue reading "FASB Proposes GAAP Taxonomy Reference Style..." »
Posted by
LeAnn Dey
in FASB News, SEC, US GAAP Taxonomy, XBRL at 13:30

SEC’s Division of Corporate Finance Publishes Regulation S-K Revisions

The SEC’s Division of Corporation Finance announced that it has updated sections of its Compliance & Disclosure Interpretations (C&DIs), which make up the Division’s interpretations for Regulation S-K. The revisions include new questions and answers in Section 128D and updates to certain sections of Section 228D of Regulation S-K. Continue reading "SEC’s Division of Corporate Finance Publishes..." »
Posted by
LeAnn Dey
in Corporation Finance, SEC Filing Help at 11:47

Saturday, February 18. 2023

SEC Closed Monday, February 20

The SEC will be closed Monday, February 20th in observance of Presidents’ Day. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of February 20th will be due the following business day, Tuesday, February 21st. The FERC will also be closed in observance of the federal holiday. eForms will accept filings submitted on February 20th. {expires: 2023-02-21} Continue reading "SEC Closed Monday, February 20" »
Posted by
LeAnn Dey
in FERC, SEC at 11:08

Friday, February 17. 2023

SEC Announces Rule Proposal to Update Privacy Act Rule

On February 14th, the SEC proposed a rule that would modify its regulations under the Privacy Act of 1974, the primary law that regulates how personal information is handled within the federal government. The existing rules include procedures for making Privacy Act requests, such as requests for the accessing and amending of records related to the individual making the request. The proposed rule is intended to clarify, modernize and enhance the language of a number of procedural provisions. Continue reading "SEC Announces Rule Proposal to Update Privacy..." »
Posted by
LeAnn Dey
in SEC at 07:00

Thursday, February 16. 2023

Novaworks to Host Free Webinar on Pay Versus Performance and Executive Compensation Disclosures

Novaworks will host a virtual seminar to help filers adjust to the changes associated with the SEC’s adoption of final rules regarding Pay Versus Performance, the Executive Compensation Disclosure, and the disclosure of the recovery of erroneously awarded compensation (clawbacks). This webinar is specifically designed for filers who would like to have certainty and ease of mind when complying with the SEC’s XBRL submission requirements. The free event will be held Wednesday, February 22, 2023, at 2:00 p.m. ET. {expires: 2023-02-23} Continue reading "Novaworks to Host Free Webinar on Pay Versus..." »
Posted by
LeAnn Dey
in Events, Novaworks News, SEC, XBRL at 07:51

Friday, February 10. 2023

SEC’s Division of Examinations Releases 2023 Priorities

On February 7th, SEC’s Division of Examinations issued its 2023 examination priorities, the publication that  details the Division’s risk-based approach, including the areas it believes may present possible risks to the integrity of the US capital markets and investors. When compiling the examination priorities, the Division is guided by its objectives to promote and improve compliance, prevent fraud, monitor risks, and inform policy. Continue reading "SEC’s Division of Examinations Releases 2023..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 13:29

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

SEC staff in the Division of Investment Management and the Division of Trading and Markets will hold an open meeting via webcast on sec.gov to address the topics of Shortening the Settlement Cycle and Safeguarding Advisory Client Assets. The meeting will take place on Wednesday, February 15, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-02-16} Continue reading "SEC’s Division of Investment Management and..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 08:36

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

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
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