Friday, October 02. 2020

SEC to Host October 26 Virtual Roundtable on Regulation Best Interest and Form CRS

On September 28th, the SEC announced that it will host an event on October 26th from 1:00 to 3:00 pm ET, which will bring together SEC staff and the Financial Industry Regulatory Authority (FINRA) for a roundtable that was announced in an earlier statement by the Staff Standards of Conduct Implementation Committee. The two groups will discuss initial observations following the June 30, 2020 compliance date for Regulation Best Interest and Form CRS. Continue reading "SEC to Host October 26 Virtual Roundtable on..." »
Posted by
The Novaworks Team
in Events, SEC at 15:33

Thursday, October 01. 2020

Notice Regarding the Fee Rate Table

With the release of the new SEC fee rate table, the SEC changed the location of the table on their website. Because the software uses the location to download the fee rate table for use in calculating filing fees, the current version of the software will not be able to download the new fee rate table. Additionally, it does not detect that the fees are out of date because the old fee rate table is still available at the old location on the SEC’s website.

Continue reading "Notice Regarding the Fee Rate Table" »
Posted by
The Novaworks Team
in EDGAR News, Novaworks News at 10:48
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