On April 11th, the SEC’s Division of Corporation Finance released a group of Compliance and Disclosure Interpretations (C&DIs), which represent updates to the Division's interpretations of the Exchange Act Rules and Exchange Act Forms. Continue reading "SEC Issues Additional Compliance and Disclosure..." »

On April 2nd, the SEC’s Office of Investor Education and Advocacy (OIEA) announced that April’s National Financial Literacy Month will focus on emphasizing the vital role investing plays in powering the US economy and preparing US investors for their financial futures. Throughout the month of April, SEC leadership and staff will offer free tools and resources that will be available. The staff will also take part in investor education events nationwide that are geared toward high school and college students, senior investors, and members of the military. Continue reading "SEC Offers Free Educational Resources and..." »

The SEC has adopted rule amendments to require electronic filing or submission of certain forms as well as other filings, submissions, or notices provided by broker-dealers, security-based swap dealers, and major security-based swap participants under the Exchange Act and the Securities Act to be submitted to the EDGAR system using machine-readable, structured data. Accordingly, the SEC has released a draft version of the Broker-Dealers (BKD) XBRL Taxonomy. Continue reading "SEC Releases Draft of Broker-Dealers (BKD)..." »

On March 27th, the SEC approved rulemaking to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. The action effectively terminates the SEC’s involvement in the defense of climate change disclosure rules, which were adopted on March 6, 2024, in The Enhancement and Standardization of Climate-Related Disclosures for Investors final rule. The rules created detailed and extensive special disclosure procedures related to climate risks for issuing and reporting companies. Continue reading "SEC Approves Ending Defense of Climate..." »

The SEC will host a roundtable discussion on artificial intelligence in the financial industry. The event, which takes place on March 27th, from 9:00 a.m. to 4:00 p.m. ET, will feature panels on the risks, benefits, and governance of AI in the financial industry. The roundtable is free and open for the public to attend via live broadcast on sec.gov. {expires: 2025-03-28} Continue reading "SEC to Hold Conference on Artificial..." »

On March 14th, the SEC announced a six-month extension of the compliance dates for the September 2023 final rule related to the Investment Company Act “Names Rule,” the rulemaking that addresses fund names likely to mislead investors about a fund’s investments and risks. Continue reading "SEC Announces Extension of Compliance Dates for..." »

SEC has announced that beginning April 14, 2025, fee-related filings received between 5:30 p.m. ET and 10:00 p.m. ET will receive notifications and be accepted that same day if they pass validation checks, but they will receive a filing date that corresponds to the next business day. Continue reading "SEC Issues Update for Fee-Related EDGAR Filings..." »

The SEC’s Office of the Advocate for Small Business Capital Formation is hosting the 44th Annual Small Business Forum, an event for members of the public and private sectors to convene to discuss capital raising and develop suggestions for policy impacting emerging businesses and their investors. The forum will take place on April 10th, beginning at 1:00 p.m. ET., both in person and via live broadcast on sec.gov. {expires: 2025-04-11} Continue reading "SEC to Host its 44th Annual Small Business Forum" »

The SEC has released the Small Entity Compliance Guide, a resource developed to help small businesses in understanding and complying with EDGAR Next, the September 2024 rule and form amendments that enhance the security of the SEC’s EDGAR system and improve filers’ ability to access and manage accounts. EDGAR Next applies to all registrants who electronically submit filings on the EDGAR system. This includes entities such as issuers and filing agents as well as individuals, such as officers and directors subject to the requirements of Section 16 of the Securities Exchange Act. Continue reading "SEC Publishes Guide to Facilitate EDGAR Next..." »

On March 17th, the SEC announced that it has adopted amendments to Volume II of the EDGAR Filer Manual and related rules and forms. Continue reading "SEC Announces Adoption of Modified EDGAR Filer..." »

On March 17, 2025, the EDGAR System will be updated to Release 25.1. Continue reading "EDGAR Release 25.1" »

On March 12th, the SEC’s Division of Corporation Finance released a group of Compliance and Disclosure Interpretations (C&DIs), which represent the Division's interpretations of the Securities Act Rules, Securities Act Sections, Regulation Crowdfunding, and Securities Act Forms. The staff’s release comprises a list that includes two new questions, 12 revised questions, and 10 withdrawn questions. Continue reading "SEC Issues Additional Compliance and Disclosure..." »

The SEC has announced that Variable Insurance Product (VIP) Data Sets are now available for registrants to download as of March 11, 2025. The VIP Data Sets provide the text and numeric information drawn from Forms N-3, N-4, and N-6 (the registration forms for variable annuity contracts and contracts offering Index-Linked Options and/or Fixed Options subject to a contract adjustment) filed with the SEC in eXtensible Business Reporting Language (XBRL). Continue reading "Variable Insurance Product Data Sets Now..." »