The SEC will be closed Monday, January 18 in observance of Martin Luther King, Jr.’s birthday. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of January 18 will be due the following business day, which is Tuesday, January 19. Continue reading "Birthday of Martin Luther King, Jr." »

On January 13, 2021, the SEC released a statement concerning Form 13H and filing issues due to Adobe Flash Player’s End of Life. Adobe officially discontinued support for Flash Player on December 31, 2020. Because of this, filers have been experiencing issues with filing Form 13H (and its variants). SEC staff are working on a technical fix. They expect to implement this fix no later than January 31, 2021.
Continue reading "SEC Releases Information about Form 13H Filing..." »

The SEC has indicated that the EDGAR System will function as it usually does on Inauguration Day (Wednesday, January 20, 2021). There will be no disruption of service, as is the case on any normal business day.
Continue reading "SEC States that the EDGAR System Will Operate..." »

The SEC will be closed Friday, January 1 in observance of New Year’s Day. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of January 1 will be due the following business day, which is Monday, January 4.

Continue reading "New Year’s Hours" »

On December 22, 2020, the SEC proposed an amendment to Rule 144 under the Securities Act of 1933 that would revise the holding period determination for securities acquired upon the conversion or exchange of certain “market-adjustable securities”. This change should decrease the risk of unregistered distributions in connection with sales of those securities. In addition, the SEC is proposing updates and simplifications to the Form 144 filing requirements. Continue reading "SEC Requests Comment on Changes to Rule 144 and..." »

The SEC will be closed Thursday, December 24 and Friday, December 25 due to the closure of the federal government on these two days. The EDGAR System will not receive, process, or accept filings on either of these days. Filings with a due date of December 24 or December 25 will be considered timely if filed on or before December 28, which is the SEC’s next business day.
Continue reading "Christmas Hours" »

On December 11, 2020, the SEC adopted new Rule 15 under Regulation S-T to identify a number of measures the SEC may take in its governing of the Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system in promoting the integrity and reliability of EDGAR submissions. The new rule covers items not easily addressed by existing rules or filer corrective disclosure. The SEC has adopted Rule 15 to provide transparency and further substantiate the system by which it expeditiously informs filers and other relevant individuals of its activities under the rule. Continue reading "SEC Approves New Rule 15 Under Regulation S-T" »

Version 5.6a of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 20.4 and contains support for the new form types and exhibits released by the SEC in EDGAR 20.4. It also has support for other EDGAR 20.4 changes, improvements to the validation for XDX and iXBRL documents, and new tools for pasting and for iXBRL redlining.

Continue reading "New Release (5.6a) for the GoFiler Family of..." »

On December 14, 2020, EDGAR Release 20.4 was released by the Securities and Exchange Commission. This release includes new exhibits types for Regulation A forms, a new checkbox on Forms 10-K, 20-F, and 40-F, and a number of changes that correspond to Release 33-10771.

Continue reading "SEC Releases EDGAR 20.4" »

To help filers avoid missing deadlines and reduce online traffic around crucial filing dates, the SEC releases a filing schedule detailing when it expects to receive the highest volume of EDGAR filings. The 2021 schedule is now available from the SEC. Continue reading "SEC Releases 2021 Peak Filing Volume Dates for..." »

The SEC will be closed Thursday, November 26 in observance of Thanksgiving Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of November 26 will be due the following business day.
Continue reading "Thanksgiving Hours" »

On November 18, 2020, the SEC published a draft of the EDGAR Filer Manual Volume II “EDGAR Filing,” (Version 56). Though there may be elements of the draft the SEC has not approved, may approve or disapprove, and may modify, the agency is making the draft available to the filing community to: 1) solicit responses; and 2) support filers in preparing for the potential amendments to the EDGAR system that are detailed in the draft. The release of the draft EDGAR Filer Manual is not meant to imply SEC support of any proposed changes relating to the EDGAR system expressed in the draft. Continue reading "SEC Releases Draft EDGAR Filer Manual (Volume..." »

Version 5.5c of all applications in the GoFiler Suite has been released. This release contains support for the CSS 3 page break properties, as well as a number of corrections and improvements to Page View to create and validate xHTML code. Improvements and corrections were also made to XDX processing.

Continue reading "New Release (5.5c) for the GoFiler Family of..." »

On November 17, 2020, the SEC voted to approve new rules and rule amendments that will: (1) provide greater flexibility regarding documents filed with the SEC by authorizing the use of electronic signatures in authentication documents and; (2) facilitate electronic service and filing in the SEC’s administrative proceedings. The new rules and amendments are part of a series of measures taken by the SEC that are designed to strengthen and modernize the agency’s operations. The changes to signature requirements are specifically the result of difficulties encountered by filers with obtaining signatures during the COVID-19 pandemic. Electronic signature technology has advanced such that confidence in an electronic signature is equatable to a manual signature. Continue reading "SEC Approves Rules to Facilitate Electronic..." »

The SEC will be closed Wednesday, November 11 in observance of Veterans Day. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of November 11 will be due the following business day.
Continue reading "SEC Closed Wednesday, November 11" »