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Friday, March 10. 2023

SEC Staff to Hold Open Meeting on Regulations S-P and SCI, Cybersecurity Risk Management Rule

The SEC’s Division of Investment Management and Division of Trading and Markets will hold an open meeting via webcast on sec.gov to address matters related to Regulation S-P, the Cybersecurity Risk Management Rule, and Regulation SCI. The meeting will take place on Wednesday, March 15, 2023 at 10:00 a.m. ET, and is free and open for the public to attend. {expires: 2023-03-16} Continue reading "SEC Staff to Hold Open Meeting on Regulations..." »
Posted by
LeAnn Dey
in Events, SEC at 15:10

Wednesday, March 08. 2023

FERC Adopts New Extreme Cold Weather Reliability Standards

The FERC has adopted two new extreme cold weather reliability standards intended to implement key recommendations from the joint inquiry into 2021’s Winter Storm Uri to prevent severe power outages like those that affected millions of customers in Texas and the South Central states. Continue reading "FERC Adopts New Extreme Cold Weather..." »
Posted by
LeAnn Dey
in FERC, Investor Education at 17:03

SEC Updates PAUSE List of Firms Using Misleading Information to Solicit Investors

On March 7th, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors. This update includes 96 soliciting entities, three impersonators of real firms, and five bogus regulators. Continue reading "SEC Updates PAUSE List of Firms Using..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 08:20

Tuesday, March 07. 2023

SEC Releases New Draft EDGAR Filer Manual for EDGAR 23.1

The SEC has announced that it has released its draft of the EDGAR® Filer Manual, Volume II: “EDGAR Filing” (Version 65). This draft Volume II of the EDGAR Filer Manual is accessible to filers in anticipation of feedback, and to help issuers prepare for potential modifications to the EDGAR system detailed in the draft and scheduled to be implemented in EDGAR Release 23.1 on March 20, 2023. Continue reading "SEC Releases New Draft EDGAR Filer Manual for..." »
Posted by
LeAnn Dey
in EDGAR News, SEC, SEC Filing Help, US GAAP Taxonomy at 15:16

Monday, March 06. 2023

New Release (5.17c) for the GoFiler Family of Products

Version 5.17c of all applications in the GoFiler Suite has been released. This release contains a number of improvements to XDX, including a new auto-tag table feature and support for the 2023 taxonomies, as well as improvements for iXBRL validation. Additional corrections and improvements were made to Form C, Form 24F-2, and Form 13F-CTR.

Continue reading "New Release (5.17c) for the GoFiler Family of..." »
Posted by
The Novaworks Team
in GoFiler Updates, Novaworks News at 17:21

Friday, March 03. 2023

Novaworks' Webinar on Executive Compensation Disclosure Now Available for Viewing

On February 22nd, Novaworks hosted a virtual seminar, presented by our experts in XBRL disclosure, to help filers adjust to the changes associated with the SEC’s adoption of final rules regarding Executive Compensation Disclosures. These disclosures must now be tagged in Inline XBRL. This webinar is now available to view on YouTube.com. Continue reading "Novaworks' Webinar on Executive Compensation..." »
Posted by
The Novaworks Team
in Novaworks News, SEC Filing Help, XBRL at 16:20

Thursday, March 02. 2023

SEC Issues Fee Rate Advisory #3 For Fiscal Year 2023

On March 1st, the SEC announced that it has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. The fee rates that apply to most securities transactions will remain at the current rate of $8.00 per million (as previously announced in January 2023). The rate will remain in place until September 30, 2023 or 60 days following the passing of a regular FY 2024 appropriation, whichever is later. Additionally, the Section 31 assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction. Continue reading "SEC Issues Fee Rate Advisory #3 For Fiscal Year..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 07:30

Tuesday, February 28. 2023

SEC Approves Final Rules to Extend Form 144 Filing Deadlines

On February 21st, the SEC announced that it is adopting an amendment to Regulation S-T to extend the filing deadline for Form 144. The SEC is also adopting technical amendments to improve the consistency of recently updated provisions related to the filing format of Form 144. Continue reading "SEC Approves Final Rules to Extend Form 144..." »
Posted by
LeAnn Dey
in EDGAR News, SEC, SEC Filing Help at 17:42

Monday, February 27. 2023

SEC Proposes Amendments to Enhance Safeguarding for Registered Investment Advisers

The SEC has proposed new rule changes under the Investment Advisers Act of 1940, under which investment advisers are regulated. The changes are designed to improve protections of investor assets managed by investment advisers registered with the SEC. Pursuant to the act, the proposed new safeguarding rule would also revise and renumber current custody rule 206(4)-2. Additionally, the SEC is proposing amendments to the recordkeeping rule under the Act and to Form ADV for investment adviser registration under the Act.

Continue reading "SEC Proposes Amendments to Enhance Safeguarding..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 15:15

SEC Staff to Hold Investor Advisory Committee Meeting

The SEC has announced a virtual Investor Advisory Committee meeting that will take place on Thursday, March 2, 2023, at 10:00 a.m. ET. The public may attend this free event, which will be presented live via webcast at sec.gov. {expires: 2023-03-03} Continue reading "SEC Staff to Hold Investor Advisory Committee..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 12:54

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

Novaworks Corporate Website Planned Maintenance

The Novaworks Corporate Website will be unavailable for approximately two hours on February 17th starting at 4:15 p.m. ET for planned maintenance. {expires: 2023-02-18} Continue reading "Novaworks Corporate Website Planned Maintenance" »
Posted by
The Novaworks Team
in Novaworks News at 15:21
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