Novaworks, LLC

Solutions that make your life easier.

Creating regulatory compliance solutions for EDGAR, FERC, and municipal filers.

Meet the GoFiler Suite

Streamline financial reporting to the SEC’s EDGAR system with compliance software that fits your organization. The GoFiler Suite is the most advanced, flexible, and cost-effective software on the market that can satisfy your compliance needs.

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Compliance for Utilities

Introducing XBRLworks, our cloud solution for transmitting periodic reports to the FERC eForms system. This easy-to-use tool offers simple compliance in a secure, collaborative environment at a fraction of the cost.

The Financial Data Transparency Act

Changes are coming for governments and governmental entities with the passage of the FDTA. Continuing disclosures, including ACFR reporting, will be moving to a new open data standard. Learn more about what this could mean for you.

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SEC, FinCEN Propose Customer Identification Program Requirements for RIAs and ERAs

On May 13th, the SEC, in conjunction with the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN), proposed new rulemaking under which SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) would be required to establish, document, and maintain written customer identification programs (CIPs) appropriate for their respective sizes and businesses. The new rule is intended to prevent illicit finance activity concerning the customers of investment advisers by enhancing the anti-money laundering and countering the financing of terrorism (AML/CFT) framework for the investment adviser sector.

Posted: May 15, 2024 4:18 pm by LeAnn Dey in SEC

Novaworks Offers Webinar: Exploring the Impact of Data Transparency on Municipal Reporting

May 2, 2024 10:41 am – Novaworks will host a free webinar geared toward investors, state and local governments and other market participants to delve into the changes that are coming with the Financial Data Transparency Act (FDTA) [...]

SEC Staff Issues New Report of Registered Fund Statistics

May 1, 2024 12:45 pm – The SEC has released a new report of Registered Fund Statistics, based on compiled data reported on Form N-PORT by funds registered with the SEC. [...]

SEC Issues Risk Alert Regarding Advisers Act Marketing Rule Compliance

May 1, 2024 9:26 am – The SEC’s Division of Examinations has released a Risk Alert, sharing initial observations from examinations of investment advisers’ compliance with the Marketing Rule. [...]