Tuesday, August 09. 2022

SEC Announces Public Availability of Form 13F Data Sets

On August 2nd, the SEC announced that the Form 13F Data Sets are now available for download. The Form 13F Data Sets provide the securities holding information required of institutional investment managers under Section 13(f) of the Securities Exchange Act of 1934. The securities holding information is also made accessible to the public in structured Form 13F filings with the SEC. The data is extracted from the XML-based section of public Form 13F submissions made in the SEC’s EDGAR system. Continue reading "SEC Announces Public Availability of Form 13F..." »
Posted by
LeAnn Dey
in DERA, SEC Filing Help at 16:02

Monday, August 08. 2022

SEC Staff to Hold Open Meeting to Discuss Proposing Amendments to Form PF

The SEC’s Division of Investment Management will hold a meeting via webcast on sec.gov to discuss and consider whether to propose amendments to Form PF to amend reporting requirements for all filers and large hedge fund advisers. The meeting is free, open for the public to attend, and will take place on Wednesday, August 10, 2022 at 10:00 a.m. ET. {expires: 2022-08-11} Continue reading "SEC Staff to Hold Open Meeting to Discuss..." »
Posted by
LeAnn Dey
in Events, SEC, SEC Filing Help at 14:33

Thursday, July 28. 2022

CEF Tagging Guide Now Available for Download

In April 2020, the SEC adopted rules in its Release 33-10771 that revised the registration, communications, and offering processes for closed-end investment companies (CEFs) and business development companies (BDCs) under the Securities Act of 1933. In addition to introducing new XML-based Form 24F-2, CEF and BDC entities will now be required to tag financial reporting information in a structured data format in their submissions to the EDGAR system. As the deadline for this change approaches, Novaworks has created a free guide to aid companies in creating their first structured data reports. Continue reading "CEF Tagging Guide Now Available for Download" »
Posted by
The Novaworks Team
in Novaworks News, SEC, SEC Filing Help, XBRL at 13:27

SEC Announces Next Meeting of the Small Business Capital Formation Advisory Committee

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 impacting small and emerging companies and their shareholders under the federal securities laws. The free webcast will take place on Tuesday, August 2, 2022, beginning at 10:00 a.m. ET. The event is open to the public and will be presented live on sec.gov. For additional information on this meeting, please contact Vanessa A. Countryman from the Office of the Secretary at (202) 551-5400. {expires: 2022-08-03} Continue reading "SEC Announces Next Meeting of the Small..." »
Posted by
LeAnn Dey
in Events, SEC at 12:15

Wednesday, July 20. 2022

SEC Announces Proposed Amendments to Shareholder Proposal Rule

On July 13th, the SEC announced that it is proposing updates to Exchange Act Rule 14a-8, the shareholder proposal rule under which companies that are subject to the federal proxy rules must include shareholder proposals in their proxy statements, subject to certain procedural and substantive requirements. Continue reading "SEC Announces Proposed Amendments to..." »
Posted by
LeAnn Dey
in SEC at 09:24

Monday, July 11. 2022

SEC Staff to Hold Open Meeting to Discuss Proxy Voting Advice and Shareholder Proposals

The SEC’s Division of Corporation Finance will hold a meeting via webcast on sec.gov to discuss and consider whether to adopt amendments to the proxy rules governing proxy voting advice. The Division will also consider whether to propose amendments to revise certain substantive bases for exclusion of shareholder proposals under the SEC’s shareholder proposal rule (Rule 14a-8). {expires: 2022-07-14} Continue reading "SEC Staff to Hold Open Meeting to Discuss Proxy..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 17:00

Friday, July 01. 2022

Independence Day

The SEC will be closed Monday, July 4th in observance of Independence Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of July 4 will be due the following business day. The FERC will also be closed in observation of Independence Day. eForms will accept filings submitted on July 4th. {expires: 2022-07-05} Continue reading "Independence Day" »
Posted by
The Novaworks Team
in FERC, Novaworks News, SEC at 14:15

Monday, June 27. 2022

SEC Approves Amendments to Electronic Filing Requirements for Investment Advisers and Institutional Investment Managers

On June 23rd, the SEC announced that it has approved rules and amendments to Form 13F to increase efficiency and make data more accessible to the public. The amendments will require the filing of certain applications, confidential treatment requests, and forms to be converted from paper to electronic submission. Subject to the rule and form amendments are registered investment advisers, institutional investment managers, and others that file or submit reports to the SEC via the EDGAR system or the Investment Adviser Registration Depository (IARD) system. Continue reading "SEC Approves Amendments to Electronic Filing..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 11:00

Friday, June 24. 2022

SEC Issues Spring 2022 Regulatory Agenda

On June 22nd, the SEC’s Office of Information and Regulatory Affairs released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions (Agenda). The publication lists short- and long-term regulatory actions that administrative agencies plan to take and includes contributions pertaining to the SEC. The Agenda reflects the SEC’s endeavor to both promote efficiency in capital markets and update rules for today’s economy and technologies. The rulemakings disclosed in the Agenda further the agency’s charge to protect investors, maintain fair and orderly markets, and facilitate capital formation. Continue reading "SEC Issues Spring 2022 Regulatory Agenda" »
Posted by
LeAnn Dey
in SEC at 10:53

Thursday, June 23. 2022

SEC Releases June 2022 XBRL Taxonomies Update

On June 21th, the SEC updated the EDGAR system to Release 22.2. The system now supports the 2022 version of the International Financial Reporting Standards (IFRS) taxonomy and the 2022Q2 version of the Variable Insurance Product (VIP) taxonomy. The 2022 version of the IFRS taxonomy reflects the same taxonomy that the International Accounting Standards Board published on its website on March 24, 2022. The final 2022Q2 taxonomies’ Release Notes go into further detail on the changes between the 2022Q2 version and the 2022 version of the VIP taxonomy. Continue reading "SEC Releases June 2022 XBRL Taxonomies Update" »
Posted by
LeAnn Dey
in SEC, XBRL at 10:45

Tuesday, June 21. 2022

SEC Releases EDGAR 22.2

On June 21, 2022, the SEC introduced EDGAR Release 22.2. This release contains support for a new submission form type SPDSCL as well as support for the 2022 IFRS and 2022Q2 VIP taxonomies. Additionally a number of exhibits were rescinded and removed from various submission form types.

Continue reading "SEC Releases EDGAR 22.2" »
Posted by
The Novaworks Team
in EDGAR News, SEC at 12:54

Monday, June 20. 2022

SEC Issues Request for Information and Comment on Information Providers and Investment Advisers

On June 15th, the SEC announced that it has issued a request for comment concerning the actions of some “information providers”. The SEC is requesting information and feedback from the public and anticipates that the details gathered will help determine whether these information providers are acting as “investment advisers” under the Advisers Act. The SEC is specifically focusing the request on index providers, model portfolio providers, and pricing services. Continue reading "SEC Issues Request for Information and Comment..." »
Posted by
LeAnn Dey
in SEC at 16:07

Friday, June 17. 2022

Juneteenth

The SEC will be closed Monday, June 20th in observance of Freedom Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of June 20th will be due the following business day. The FERC will also be closed in observation of Freedom Day. eForms will accept filings submitted on June 20th. {expires: 2022-06-21} Continue reading "Juneteenth" »
Posted by
The Novaworks Team
in FERC, Novaworks News, SEC at 14:30

SEC Announces Adjusted Filing Dates in Observance of Juneteenth Holiday

In observance of the Juneteenth National Independence Day, and in treating that day as a federal holiday for filing purposes, the SEC will be closed on Monday, June 20, 2022. The EDGAR system will not receive, process or accept filings. EDGAR will resume normal operations on Tuesday, June 21, 2022. {expires: 2022-06-21} Continue reading "SEC Announces Adjusted Filing Dates in..." »
Posted by
LeAnn Dey
in FERC, SEC at 13:57

SEC Reopens Comment Period for Recovery of Erroneously Awarded Compensation Rule Proposal

On June 8th, the SEC announced that is reopening the comment period for the July 2015 proposed amendments and new rules to implement Section 954 of Dodd-Frank concerning listing standards for recovering erroneously awarded compensation. In response to the original proposal, the SEC received numerous comments, and considering the regulatory and market developments since 2015, the SEC is providing an opportunity for the public to offer additional feedback on the 2015 proposal. The reopening also allows for questions newly raised to be addressed. Continue reading "SEC Reopens Comment Period for Recovery of..." »
Posted by
LeAnn Dey
in SEC at 12:12
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