Tuesday, October 18. 2022

SEC Announces Form 144 Electronic Filing Compliance Date in April 2023

The SEC announced on October 18th that the compliance date for the submission of Form 144 to the EDGAR system in an electronic data format will be April 13, 2023. Continue reading "SEC Announces Form 144 Electronic Filing..." »
Posted by
The Novaworks Team
in EDGAR News, Novaworks News at 18:02

Thursday, October 13. 2022

SEC Modernizes How Broker-Dealers Maintain Electronic Records and Enhances the Electronic Recordkeeping Requirements for Security-Based Swap Entities

On October 12th, the SEC adopted amendments to the electronic recordkeeping and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs). With the many technological changes over the last two decades, these changes are intended to modernize recordkeeping requirements and to make the rule adaptable to these new technologies in electronic recordkeeping. Continue reading "SEC Modernizes How Broker-Dealers Maintain..." »
Posted by
The Novaworks Team
in SEC at 17:29

Monday, October 10. 2022

SEC’s Small Business Advisory Committee to Discuss Entrepreneurship Hubs and the IPO Market

The SEC’s Small Business Capital Formation Advisory Committee will hold a meeting on Thursday, October 13 at 10:00 a.m. ET to discuss entrepreneurship hubs and recent trends in taking a company public. Members of the public can watch the live meeting via webcast on sec.gov. {expires: 2022-10-14} Continue reading "SEC’s Small Business Advisory Committee to..." »
Posted by
The Novaworks Team
in Events, SEC at 20:23

Friday, October 07. 2022

Columbus Day

The SEC will be closed Monday, October 10th in observance of Columbus Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of October 10 will be due the following business day. The FERC will also be closed in observation of Columbus Day. eForms will accept filings submitted on October 10th. {expires: 2022-10-11} Continue reading "Columbus Day" »
Posted by
The Novaworks Team
in FERC, Novaworks News, SEC at 12:03

Thursday, October 06. 2022

FASB Releases Proposed Technical and Other Improvements for 2023 GAAP Taxonomy

On October 5th, the FASB issued for a request for comment on proposed technical and other conforming improvements for the 2023 GAAP Financial Reporting Taxonomy. The comment period ends on November 3, 2022. Continue reading "FASB Releases Proposed Technical and Other..." »
Posted by
The Novaworks Team
in FASB News, SEC, US GAAP Taxonomy at 10:18

SEC Focuses on Financial Planning and Resilience During World Investor Week 2022

The SEC announced on October 3rd that it will focus on long-term planning and investor resilience during World Investor Week (WIW) 2022. WIW, which is a global effort promoted by the International Organization of Securities Commissions, unites regulators worldwide to increase awareness about the importance of investor education and protection. In its sixth year, WIW occurs October 3-9. Continue reading "SEC Focuses on Financial Planning and..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 09:59

Friday, September 30. 2022

SEC Closely Observing Impact of Hurricanes Ian and Fiona on Capital Markets

On September 29th, the SEC announced that it will be carefully monitoring the effects of Hurricanes Ian and Fiona and welcomes inquiries from individuals with obligations under the federal securities laws that may be impacted by the storms. As the SEC follows the storms’ developments, it will consider easing regulatory requirements for those affected by the storms.
Continue reading "SEC Closely Observing Impact of Hurricanes Ian..." »
Posted by
The Novaworks Team
in SEC at 16:08

Wednesday, September 28. 2022

SEC Adopts Pay Versus Performance Rules, Releases Draft Executive Compensation Disclosure (ECD) Taxonomy and Guide

On September 26th, the SEC approved amendments to current rulemaking that would require registrants to disclose information concerning the connection between executive compensation and company performance. Detailed information on the Pay Versus Performance final rule is available on sec.gov. Under the adopted amendments, registrants will be required to use Inline XBRL to tag their pay versus performance disclosure. Continue reading "SEC Adopts Pay Versus Performance Rules,..." »
Posted by
LeAnn Dey
in SEC, XBRL at 11:35

Friday, September 23. 2022

SEC Staff Releases Research Study on Fund Performance Benchmarks

On September 19th, the SEC announced that researchers from its Office of the Investor Advocate (OIAD) published an independent research study that explores the effects of mutual fund performance benchmarks. This OIAD study analyzed market data and the findings of a large behavioral experiment to better understand how investors respond to benchmark presentation during the decision-making process and how funds use and display benchmark information. Continue reading "SEC Staff Releases Research Study on Fund..." »
Posted by
LeAnn Dey
in SEC at 16:13

SEC Division of Corporation Finance Announces New Offices Dedicated to Crypto Assets and Industrial Applications and Services

The SEC has announced that the Division of Corporation Finance’s Disclosure Review Program (DRP) will be supplemented with an Office of Crypto Assets and an Office of Industrial Applications and Services later this fall. The new offices will connect with the seven existing offices that provide focused review of issuer filings. Continue reading "SEC Division of Corporation Finance Announces..." »
Posted by
LeAnn Dey
in SEC at 15:41

Monday, September 19. 2022

SEC Adopts Inflation Adjustments Under JOBS Act

On September 9th, the SEC announced that it has approved rules to adjust the annual gross revenue thresholds in the definition of “emerging growth company” (EGC). The SEC also adopted rules to increase certain dollar amounts in Regulation Crowdfunding to make effective inflation adjustments required under Titles I and III of the Jumpstart Our Business Startups (JOBS) Act. Continue reading "SEC Adopts Inflation Adjustments Under JOBS Act" »
Posted by
LeAnn Dey
in SEC at 13:20

SEC Announces Next Investor Advisory Committee Meeting

The SEC has announced a virtual Investor Advisory Committee meeting that will take place on Wednesday, September 21, 2022, at 10:00 a.m. ET. The public may attend this free event, which will be presented live via webcast at sec.gov. {expires: 2022-06-22} Continue reading "SEC Announces Next Investor Advisory Committee..." »
Posted by
LeAnn Dey
in Events, SEC at 13:03

Thursday, September 15. 2022

FASB Releases Proposed Changes and Technical Guide for 2023 SEC Reporting Taxonomy, Solicits Comment

On September 8th, the FASB announced that it has released for public review and comment proposed technical and other conforming improvements for the 2023 SEC Reporting Taxonomy (SRT) along with the related release notes. The technical and conforming modifications made to the SRT are designed to improve its overall utility. Continue reading "FASB Releases Proposed Changes and Technical..." »
Posted by
LeAnn Dey
in FASB News, SEC, XBRL at 09:48

Monday, September 12. 2022

SEC Staff to Discuss Treasury Clearing Standards for Membership Requirements and Risk Management

The SEC’s Division of Trading and Markets will convene a meeting via webcast on sec.gov on Wednesday, September 14, 2022 at 10:00 a.m. ET. The meeting is free and open for the public to attend. The meeting will focus on treasury clearing standards and risk management. {expires: 2022-09-15} Continue reading "SEC Staff to Discuss Treasury Clearing..." »
Posted by
LeAnn Dey
in Events, SEC at 16:05

SEC Releases Draft Fiscal Years 2022-2026 Strategic Plan

The SEC has released its Draft 2022–2026 Strategic Plan for public comment. The plan is comprised of a draft of the SEC’s strategic goals, planned initiatives, mission, vision, and values. By introducing these goals, the SEC expects to continue to be a proficient, consistent presence in the evolving capital markets. Continue reading "SEC Releases Draft Fiscal Years 2022-2026..." »
Posted by
LeAnn Dey
in SEC at 12:43
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