The SEC, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) jointly will host a compliance outreach program for municipal market advisors and dealers. The workshop is free and open for the public to attend, but registration is required. The two-day remote event will take place on Wednesday, January 21 and Thursday, January 22, from 12 p.m. to 5 p.m. each day. Following the event, a recording of the program also will be archived on the SEC's webpage. Continue reading "SEC, MSRB, FINRA to Host Virtual Compliance..." »

In March 2025, SEC final rules required electronic filing, submission, or posting of certain forms, filings, and other submissions that broker-dealers, national securities exchanges, national securities associations, clearing agencies, security-based swap dealers, and major security-based swap participants make with the SEC. Pursuant to the rule, exchanges now must file Form 1 applications and amendments through the EDGAR system, partially in Inline XBRL, a structured, machine-readable data format. The draft 2026Q2 Self-Regulatory Organizations (SRO) taxonomy includes the new elements needed for exchanges to tag Form 1. Continue reading "SEC Releases Draft 2026Q2 Self-Regulatory..." »

On January 6th, the SEC announced that effective January 1st, 2026, the Calendar Year 2026 EDGAR Fee Rate Table will be updated to reflect a new interest rate for the current value of funds. To view the current EDGAR Fee Rate Table, visit the home page of the EDGAR Filing Website, and choose Fee Rate Table under the Information Exchange menu in the left navigation bar. Continue reading "SEC Updates EDGAR Fee Rate Table" »

On December 22, 2025, EDGAR Release 25.4 implemented changes to the EDGAR Filing website, including updates to the Fee Exhibit Preparation Tool (FEPT), EDGAR APIs, the API Development Toolkit, and the Filer Management Website. The release also provides guidance to filers not yet enrolled in EDGAR Next. Continue reading "EDGAR Release 25.4" »

The SEC has announced that the EDGAR Beta environment provided for filers as part of the EDGAR Next launch will remain open for the foreseeable future. The beta environment originally was set to close on December 19, 2025, but will remain open to allow the EDGAR filing community to preview and test all upcoming EDGAR updates. Continue reading "SEC Extends EDGAR Beta Environment" »

The SEC will hold a roundtable to discuss Rule 611 of Regulation NMS and other related rules and regulatory requirements. The roundtable will take place on Tuesday, December 16, 2025, beginning at 10:00 a.m. Eastern. The event is free, open to the public, and registration is required only for those attending in person. Continue reading " SEC to Discuss Rule 611 of Regulation NMS" »

On December 3rd, the SEC announced a temporary relief from both compliance with Rule 13f-2 under the Securities Exchange Act and reporting on Form SHO. The exemption extends filing deadlines from January 2, 2026, until January 2, 2028. Form SHO reports for the January 2028 reporting period must be filed within 14 calendar days following the end of January 2028. Continue reading "SEC Announces Exemptive Relief From Exchange..." »

Filers still have time to enroll in EDGAR Next through December 19, 2025 through open enrollment, which allows existing EDGAR filers to transition to EDGAR Next with their current EDGAR login information. Enrollment in EDGAR Next, which is available on the dashboard of the EDGAR Filer Management website, is now required to file to the EDGAR System. After December 19th, enrolling in EDGAR Next will require the submission of a new Form ID. {expires: 2025-12-20} Continue reading "EDGAR Next Open Enrollment Period Ends December 19" »

The SEC’s Division of Examinations has published its 2026 Examination Priorities, the publication that gives an overview of the Division’s risk-based approach, focusing on the areas it believes may present possible risks to the integrity of the US capital markets and investors. When collecting data for examination priorities, the Division is guided by its endeavor to promote and improve compliance, prevent fraud, monitor risks, and inform policy. In the 2026 publication, the Division covers a number of matters and developments impacting the market and investors. Continue reading "SEC’s Division of Examinations Publishes Fiscal..." »

On November 13th, the SEC’s Division of Corporation Finance published a set of anticipated questions and answers for issuers following the recent government shutdown. During the shutdown, issuers filed over 900 registration statements; the Division currently is working to clear the backlog of filings. The Division’s guidance is intended to provide transparency and address many of the questions that issuers may have concerning pending filings with the SEC. Continue reading "SEC Updates Guidance Regarding Government Shutdown" »

The SEC will be closed Tuesday, November 11th, 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 11th will be due the following business day. The FERC will also be closed in observation of Veterans Day. eForms will accept filings submitted on November 11th. Continue reading "Veterans Day" »