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Monday, June 21. 2021

SEC Releases EDGAR 21.2

On June 21, 2021, EDGAR Release 21.2 was released by the Securities and Exchange Commission. This release included changes to Forms S-1, S-3, F-1 and F-3 to allow issuers of Exchange Traded Vehicle Securities to register an indeterminate number of securities and pay thefee for those securities on an annual basis. Changes were also made to Item C.7 and Part F on Form N-CEN and to add the IFRS 2021 Taxonomy.


Continue reading "SEC Releases EDGAR 21.2" »
Posted by
The Novaworks Team
in EDGAR News at 17:16

SEC, NASAA, and FINRA Announce Free Training Resources to Assist Firms with Protecting Seniors from Financial Exploitation

On June 15, 2021, in recognition of World Elder Abuse Awareness Day, the SEC announced its collaboration with regulatory counterparts, the North American Securities Administrators Association (NASAA) and the Financial Industry Regulatory Authority (FINRA), to develop a free, online training program focused on protecting senior investors. The resource, entitled “Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors”, fulfills implementation requirements pursuant to the Senior Safe Act of 2018.
Continue reading "SEC, NASAA, and FINRA Announce Free Training..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 14:59
(Page 1 of 1, totaling 2 entries)

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