Thursday, November 10. 2022
XBRL US Announces Web Conference: Variable Annuity & Life Insurance Companies – Get the Skill Set for XBRL
XBRL US will host a virtual conference to discuss the new compliance requirements associated with the SEC’s recent final rule, Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts. These new requirements will go into effect early 2023. The webinar will take place November 15th.
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Tuesday, November 08. 2022
SEC Proposes Changes to Open-End Fund Liquidity Risk Management and Swing Pricing
On November 2nd, the SEC proposed amendments designed to better prepare open-end funds for stressed market conditions and to mitigate potential dilution of shareholders’ interests. These changes should enhance how funds manage their liquidity risks by requiring them to implement liquidity management tools and ensure timely reporting of fund information on Form N-PORT.
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SEC Updates PAUSE List
The SEC has updated its list of unregistered entities that use misleading information to solicit investors. The Public Alert: Unregistered Soliciting Entities (PAUSE) list now has an additional 35 soliciting entities, four impersonators of genuine firms, and four bogus regulators.
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Monday, November 07. 2022
SEC Releases 2023 Draft Taxonomies
On November 7th, the SEC released drafts of the 2023 updates to its reporting taxonomies, including updates as part of the annual review and update process for all SEC taxonomies accepted in the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. The Draft 2023 Release Notes contain more information concerning the specific changes in the 2023 update. The draft taxonomies are open to public review to gather feedback to continue to improve the process for creating and using structured filings.
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FERC Releases Open Meeting Schedule for 2023
The FERC has announced the schedule for its open meetings for calendar year 2023. Meetings occur on the third Thursday of every month, unless otherwise indicated, with the exception of August.
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Friday, November 04. 2022
SEC Enhances Proxy Voting Disclosure and Requires Disclosure of “Say-on-Pay” Votes
The SEC adopted amendments to Form N-PX on November 2nd. These changes will enhance the proxy vote information that mutual funds, exchange-traded funds, and certain other registered funds report by making proxy voting records more usable and easier to analyze. This will in turn enhance investors’ ability to monitor how funds vote and compare different funds’ voting records. In addition, institutional investment managers will be required to disclose how they voted on executive compensation (“say-on-pay”) matters, which fulfills one of the remaining rulemaking mandates under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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Thursday, November 03. 2022
SEC Releases 2023 Peak Filing Volume Dates for EDGAR Filings
To help filers avoid missing deadlines and reduce online traffic around crucial filing dates, the SEC releases a filing schedule detailing when it expects to receive the highest volume of EDGAR filings. The 2023 schedule is now available from the SEC.
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SEC Releases New Draft ECD Taxonomy and Guide
The SEC recently adopted amendments that will require an exchange-listed issuer to adopt a compensation recovery policy required by Rule 10D-1 of the Securities Exchange Act. The issuer must also disclose information about the application of its Rule 10D-1 compensation recovery policy and any recovery pursuant to such policy. This disclosure must be submitted in Inline XBRL.
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Wednesday, November 02. 2022
SEC Proposes Oversight Rules for Some Outsourced Services
On October 26th, the SEC proposed a new rule and associated amendments under the Investment Advisers Act of 1940 that would prohibit registered investment advisers from outsourcing certain services and functions unless that investment adviser has performed the necessary due diligence. In addition, investment advisers who choose to outsource these services must monitor the service providers.
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Tuesday, November 01. 2022
SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules
The SEC has adopted rules to require securities exchanges to implement new compensation recovery listing standards. These standards will require issuers who list securities on these exchanges to develop and implement a policy providing for the recovery of erroneously awarded incentive-based compensation received by current or former executive officers. The policy would be filed as an exhibit to the listed issuer’s annual report. In addition. the listed issuer must include disclosures related to its recovery policy and provide recovery analysis when a recovery is triggered.
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Monday, October 31. 2022
SEC Modernizes Fund Shareholder Reports to Promote Transparent Fee- and Expense-Related Information in Fund Advertisements
On October 26th, the SEC adopted amendments that will require mutual funds and exchange-traded funds registered on Form N-1A to transmit concise and visually engaging shareholder reports in a structured data format. In addition, these changes will promote transparent and balanced information concerning the fees and expenses related to investing in investment company advertisements.
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Monday, October 24. 2022
New Release (5.16b) for the GoFiler Family of Products
Version 5.16b of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 22.3.1 and contains changes for the modernized Form 144. Additionally, new features have been added to XDX to create and edit extensible lists. Other corrections and improvements were made to XDX, Section 16, Form 13F, Form 13H, and Form 24F-2NT.
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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.
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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.
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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}
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