Tuesday, June 29. 2021

SEC Launches Public Service Campaign Encouraging Consistent Investing

The SEC’s Office of Investor Education and Advocacy (OIEA) introduced a new public service campaign on June 23, 2021 as an outreach effort featuring two short videos that aim to educate investors, notably the underserved, on the benefits of investing. With the objective of ensuring investors have access to accurate, useful information, the SEC is also promoting the free financial planning tools and information available on the SEC’s online investor resource, investor.gov. The SEC intends to reach the greatest number and variety of people as possible through these web resources. Continue reading "SEC Launches Public Service Campaign..." »
Posted by
Margaret Gardner
in Investor Education, SEC at 09:29

Monday, June 28. 2021

SEC Regional Office, Other Agencies Collaborate to Hold Virtual Investment and Consumer Fraud Webinar

The SEC’s Atlanta Regional Office (ARO), Operation HOPE, the Federal Trade Commission, and the Georgia Secretary of State Securities and Charities Division have partnered to host a virtual outreach event focusing on recognizing and avoiding investment and consumer fraud. The event will take place on June 29, 2021, at 11:00 a.m. ET. {expires: 2021-06-30} Continue reading "SEC Regional Office, Other Agencies Collaborate..." »
Posted by
The Novaworks Team
in Events, Investor Education, SEC at 14:45

Friday, June 25. 2021

SEC Adjusts Filing Dates in Accordance with Juneteenth Holiday

In observance of the Juneteenth National Independence Day, and in treating that day as a federal holiday for filing purposes, the SEC has adjusted the dates of some filings submitted last week. The EDGAR system was closed on Friday, June 18, 2021 and resumed normal operations on Monday, June 21, 2021. Continue reading "SEC Adjusts Filing Dates in Accordance with..." »
Posted by
The Novaworks Team
in EDGAR News, SEC Filing Help at 14:55

SEC Announces Adoption of the Passphrase Update Amendment

On June 22, 2021, the SEC announced amendments to Volume I of the EDGAR Filer Manual pertaining to Section 4.b and the Manual Passphrase Update Request. These updates require filers who have misplaced their passphrase to provide certain supporting documentation indicating the connection between the individual(s) requesting access and the existing EDGAR account. They must also provide documentation indicating how the individual(s) requesting access connects to the individual(s) acting on that individual’s behalf. Continue reading "SEC Announces Adoption of the Passphrase Update..." »
Posted by
The Novaworks Team
in EDGAR News, SEC Filing Help at 14:48

Thursday, June 24. 2021

SEC Introduces Pilot Phase to Implement Final Rule Aimed at Investment Company Filers

On June 22, 2021, the SEC announced that the anticipated September 2021 update to the EDGAR system will introduce a pilot phase for filing Form 24F-2. The SEC recently adopted the requirement that filings on Form 24F-2 be submitted in a structured format, as stated in the Securities Offering Reform for Closed-End Investment Companies release. Continue reading "SEC Introduces Pilot Phase to Implement Final..." »
Posted by
The Novaworks Team
in EDGAR News, SEC Filing Help, XBRL at 11:40

Wednesday, June 23. 2021

Novaworks to Host Free Webinars on Using GoFiler for Inline XBRL

The compliance date for submitting filings using inline XBRL is fast approaching with filings due in August of this year for all non-accelerated and smaller reporting companies. To help this transition, Novaworks is presenting a free, three-part webinar series to help filers learn how to prepare inline XBRL using our patented XDX technology.

Continue reading "Novaworks to Host Free Webinars on Using..." »
Posted by
The Novaworks Team
in Events, Filing Technology, SEC Filing Help at 15:12

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

Thursday, June 17. 2021

EDGAR System Closed Friday, June 18

The EDGAR System will be closed Friday, June 18 in observance of National Independence Day. The system will not receive, process or accept filings on this day. Filings with a due date of June 18 will be due the following business day. {expires: 2021-06-21} Continue reading "EDGAR System Closed Friday, June 18" »
Posted by
The Novaworks Team
in EDGAR News at 18:23

SEC Announces EDGAR Release 21.2

The SEC has announced that it will release EDGAR 21.2 on Monday, June 21. This update will introduce multiple changes to the EDGAR filing website, as well as various changes to Form N-CEN and the introduction of the IFRS 2021 XBRL Taxonomy. Continue reading "SEC Announces EDGAR Release 21.2" »
Posted by
The Novaworks Team
in EDGAR News, IFRS Taxonomy, SEC Filing Help at 17:56

Tuesday, June 15. 2021

SEC Reminds Operating Companies of Approaching Final Phase-In Date for Inline XBRL

The SEC adopted amendments on June 28, 2018 that required filers to use Inline XBRL (iXBRL) for both operating company financial statement information and fund risk/return summary information. Filers using iXBRL are able to prepare a single document that embeds machine-readable data directly into a human-readable document. This gives data users a simpler means to view, access, and explore the contextual information of the underlying data.
Continue reading "SEC Reminds Operating Companies of Approaching..." »
Posted by
The Novaworks Team
in Corporation Finance, SEC, SEC Filing Help, XBRL at 15:53

SEC Issues Annual Regulatory Agenda

On June 11, 2021, the SEC’s Office of Information and Regulatory Affairs published the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The report is comprised of contributions related to the SEC and a list of short- and long-term regulatory measures that administrative agencies plan to take. With the mission of safeguarding investing investors, facilitating capital formation, and maintaining fair, orderly, and efficient markets, the SEC proposes and finalizes rules that strengthen markets and increase transparency. Continue reading "SEC Issues Annual Regulatory Agenda" »
Posted by
The Novaworks Team
in SEC at 10:33

Monday, June 14. 2021

SEC Revises List of Entities Soliciting Investors with Inaccurate Information

On June 9, 2021, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors, adding 55 soliciting entities, five bogus regulators, and four impersonators of real firms. Continue reading "SEC Revises List of Entities Soliciting..." »
Posted by
The Novaworks Team
in Investor Education, SEC at 09:42

Thursday, June 10. 2021

EDGARLink Updates Online Document Attachment Capabilities

As of June 9, 2021, when a filer is using an internet browser other than Internet Explorer, EDGARLink Online will allow that filer to attach multiple documents at once to EDGAR submissions. Filers using Internet Explorer must continue attaching documents to EDGAR submissions one at a time. Continue reading "EDGARLink Updates Online Document Attachment..." »
Posted by
LeAnn Dey
in EDGAR News, SEC, SEC Filing Help, US GAAP Taxonomy at 11:49
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