Friday, October 20. 2023
SEC Adopts Rule to Enhance Short Sale Disclosure, Amends CAT NMS Plan for Short Sale Data Collection
New Rule 13f-2, related Form SHO, and an amendment to the national market system plan (NMS Plan) governing the consolidated audit trail (CAT) were adopted by the SEC. The goal of these changes is to enhance disclosure requirements for short sale-related data.
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SEC Approves Rule to Enhance Disclosures in the Securities Lending Market
On October 13th, the SEC announced that it voted to adopt Rule 10c-1a under the Securities Exchange Act of 1934 to increase transparency requirements and improve the efficacy of the securities lending market. The rule requires certain persons to report information about securities loans to a registered national securities association (RNSA). Currently, the Financial Industry Regulatory Authority (FINRA) is the only RNSA.
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Tuesday, October 17. 2023
SEC Issues Draft 2023 Fund (FND) Taxonomy
The SEC has adopted amendments to its Names Rule that addresses certain broad categories of investment company names that may mislead investors about an investment companys investments and risks. Accordingly, the SEC has released a draft of the new Fund (FND) XBRL taxonomy.
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Monday, October 16. 2023
SEC’s Division of Trading and Markets to Discuss Volume-Based Exchange Transaction Pricing for NMS Stocks
The SEC’s Division of Trading and Markets will hold an open meeting concerning volume-based exchange transaction pricing for NMS stocks via webcast on sec.gov. The web meeting will take place on Wednesday, October 18, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-10-19}
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Friday, October 13. 2023
FERC to Hold Its Monthly Open Commission Meeting
The FERC staff will hold its monthly open meeting via webcast on ferc.gov on Thursday, October 19, 2023, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2023-10-20}
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SEC Approves Amendments to Rules Governing Beneficial Ownership Reporting
The SEC announced on October 10th that it has voted to approve final rules intended to enhance disclosure requirements and provide more timely information for shareholders and the market concerning beneficial ownership. The SEC also provided guidance related to the existing legal standard regulating when two or more individuals may be considered a group and when an investor’s use of certain cash-settled derivative securities may result in the individual being treated as a beneficial owner of the class of the reference equity securities.
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Wednesday, October 11. 2023
SEC’s Division of Trading and Markets to Discuss Reporting of Securities Loans and Short Position and Activity Reporting
The SEC’s Division of Trading and Markets will hold an open meeting via webcast on sec.gov concerning the reporting of securities loans and short position and activity reporting. The meeting will take place on Friday, October 13, 2023 at 9:30 a.m. ET. The meeting is free and open for the public to attend. {expires: 2023-10-14}
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Tuesday, October 10. 2023
FASB Publishes Technical and Other Improvements for 2024 US GAAP Taxonomy
On October 6th, the Financial Accounting Standards Board (FASB) staff released proposed technical and other conforming improvements for the 2024 US Generally Accepted Accounting Principles (GAAP) Financial Reporting Taxonomy and the related release notes for public review and comment.
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Friday, October 06. 2023
SEC and FERC Closed October 9th
The SEC will be closed Monday, October 9th 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 9th 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 9th. {expires: 2023-10-10}
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Thursday, October 05. 2023
SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities
On September 29th, the SEC announced that it is proposing rule and form amendments that would update the offering process and create customized disclosure requirements for registered index-linked annuities (RILAs). A RILA is one of a number of types of annuity contracts that provides investors a return based on the performance of a market index over a set period of time. These annuities also have a “bounded return” structure that usually limits an investor’s losses when the index goes down, but may also limit that investor’s gains when the index goes up.
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Tuesday, October 03. 2023
SEC Updates Filing Fee Beta Opening Date
The SEC has announced that the EDGAR Filing Fee Beta will open on Wednesday, October 4, 2023, instead of Monday, October 2, 2023 as previously scheduled.
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Sunday, October 01. 2023
SEC Hosts World Investor Week 2023 Centered on Due Diligence
The SEC has announced that World Investor Week (WIW) 2023 will focus on the significance of investors taking time to do due diligence, and how doing so may help them avoid fraud and to make better informed investment decisions. The event, which also emphasizes investor education and protection, takes place online and in person October 2 through October 8, 2023. {expires: 2023-10-09}
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Friday, September 29. 2023
SEC’s Division of Corporation Finance Provides Guidance in Advance of a Possible Government Shutdown
On September 27th, the SEC advised that, in the event of a government shutdown, the Division of Corporation Finance’s activities will be significantly limited. Particularly, during a shutdown, the Division will be unable to accommodate requests for accelerating registration statements effectiveness, nor will it be able to qualify Form 1-A offering statements.
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Thursday, September 28. 2023
SEC Guides Registrants Concerning Pending Registration Statements and Offering Statements During Potential Government Shutdown
On September 27th, the SEC advised that, in the event of a government shutdown, the Division of Corporation Finance’s activities will be significantly limited. The Division will be unable to accommodate requests for accelerating registration statements effectiveness, nor will it be able to qualify Form 1-A offering statements. On September 29th, SEC staff further advised registrants that, if they would like the Division of Corporation Finance to consider a request for acceleration of the effective date of a pending registration statement or qualification of a pending offering statement to be dated “September 29, 2023”, they may contact a staff member identified in the letter they received. Registrants also may contact the Disclosure Review Program at (202) 551-2076 or Christian Sandoe, Division of Investment Management, at (202) 551-6949. After 5:30 p.m. September 29th, the Division of Corporation Finance and the Division of Investment Management will not be able to consider requests until the SEC receives appropriations to fund its operations.
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Wednesday, September 27. 2023
SEC Adopts Revised Privacy Act Rule
The SEC has voted to approve a rule that entirely revises and replaces its current regulations under the Privacy Act of 1974, the primary law that oversees how personal information is treated within the federal government. Proposed in February 2023, the rule was designed to clarify, modernize and simplify the language of a number of procedural provisions. The current rules include procedures for making Privacy Act requests, including those for the accessing and amending of records related to the individual making the request.
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