Version 5.17b of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 22.4.1 and contains corrections and improvements to Form 13F.
Continue reading "New Release (5.17b) for the GoFiler Family of..." »Monday, January 23. 2023
New Release (5.17b) for the GoFiler Family of Products
Monday, December 19. 2022
New Release (5.17a) for the GoFiler Family of Products
Version 5.17a of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 22.4 and contains support for a new exhibit type EX-97, support for the DEI 2022q4 taxonomy for ECD, and Form 13F.
Continue reading "New Release (5.17a) for the GoFiler Family of..." »Wednesday, November 23. 2022
Thanksgiving Hours
Both the SEC and the FERC will be closed Thursday, November 24th in observance of Thanksgiving. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of November 24th will be due the following business day. eForms will accept filings submitted on November 24th. {expires: 2021-11-28}
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Monday, November 21. 2022
New Release (5.16c) for the GoFiler Family of Products
Version 5.16c of all applications in the GoFiler Suite has been released. This release contains a number of changes and improvements for XDX and XBRL, including support for the ECD 2022q4 taxonomy.
Continue reading "New Release (5.16c) for the GoFiler Family of..." »FERC Reviews Its Enforcement Activities for Fiscal Year 2022
On November 17th, the FERC released its 16th annual report on its enforcement activities, which offers a comprehensive overview of the agency’s accomplishments in 2022 as part of its efforts to ensure that all energy markets are efficient, safe, reliable, and secure. The report includes the FERC’s significant actions, as well as its strategic goals and its guidance to the industry. The report also serves an important function in providing the public and the regulated community with more information regarding the FERC’s Office of Enforcement’s non-public activities.
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Thursday, November 10. 2022
Veterans Day
The SEC will be closed Friday, November 11, in observance of Veterans Day. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of November 11 will be due the following business day. The FERC will also be closed in observation of Veterans Day. eForms will accept filings submitted on November 11th. {expires: 2022-11-12}
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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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